People

Industry Start Date: 1993

KAR Start Date: 2004

Education: B.S. in Industrial and Labor Relations from Cornell University (awarded the Cornell Tradition Fellowship for leadership and academic achievement and played varsity football)

Recognition:
Spuds is ranked #1 on Barron’s Top 100 Independent Financial Advisors list for the fourth year in a row and has been among the top 10 nationally for the last eight years. He is also ranked on Forbes’ list of the Top 100 Wealth Advisors for the second year and he has been named a Five Star Wealth Manager by Los Angeles magazine for the last 10 years. Spuds is a Certified Private Wealth Advisor^® professional and he formerly served on the Fidelity Wealth Advisor Solutions^® Client Advisory Council. In addition, Spuds has been quoted in the Wall St. Journal, Barron’s, Investment News, Investors’ Business Daily, Wealthmanagement.com and Forbes.

Prior to Joining KAR:
Spuds worked as the National Mid-Plan Sales Manager for Financial Engines, a firm founded by Nobel Laureate, Dr. William Sharpe, to provide institutional-quality investment advice to millions of investors. Before working at Financial Engines, Spuds was a Retirement Plan Consultant for Retirement Plan Strategies, after spending the first four years of his career in a variety of roles at Franklin Templeton Funds.

When Not in the Office:
Spuds strives to have a balanced life and spend as much time as possible with his family. He married his high school sweetheart, Ann and they have four children; Emmet, Mary Clare, Finn and Margot. The Powells support The Lucile Packard Children’s Hospital, St. Thomas the Apostle School, Westcoast Sports Associates, the Manhattan Beach Education Foundation and Loyola High School, among other organizations. Spuds enjoys playing sports and cooking and is a loyal fan of the San Francisco Giants, San Francisco 49ers and Notre Dame Football.

What Do You Enjoy Most About Your Job?
I feel very lucky to do what I do and there’s a lot about it that I enjoy. The most rewarding aspect of my job is developing very close, personal and trusting relationships with my clients. I love putting in the time and effort necessary to truly understand what they’re trying to accomplish with their wealth and developing a customized investment strategy to help them achieve that financial peace of mind that they’re looking for.

What Do You Enjoy Most About Working at KARWA?
I love working with so many amazing people! Our firm prides itself on having a corporate culture built on integrity, honesty and trustworthiness and the people here walk that walk. They’re very smart, experienced, friendly, warm and willing to help each other and our clients. I feel grateful to be able to work with them.

How Does KARWA Approach Wealth Management Differently?
We have a proven ability to play great defense and protect our clients’ wealth during difficult markets. One of the ways we have had success in this area is through the utilization of asset classes that perform differently from equities and fixed income, what we refer to as alternative investments. One of the few guarantees in our industry is that there will be periods when the stock market does poorly. By allocating a portion of our clients’ wealth to assets that perform well during those periods when equities struggle, we can generate better performance with less risk than many of the firms in our industry.

Another thing that I appreciate about KAR is that we manage the wealth of our senior investment professionals and principals. I’m always very proud to tell prospective clients and existing clients that we are a classic example of a firm that “eats its own cooking” by investing alongside clients in the same portfolios.

What Do You Hope to Achieve For Your Clients?
I strive to provide my clients with financial peace of mind, the notion that with the investment strategy that we’ve implemented for them, they’ll never have to worry about money again.

Industry Start Date: 1998

KAR Start Date: 2014

Education: B.S. in Economics from Santa Clara University

Credentials: Series 7, Series 66

Prior to Joining KAR:
Randy worked as a Vice President-Senior Financial Consultant for Charles Schwab & Co. During his 12 years at Charles Schwab, Randy provided private-client investment-management services to high-net-worth families. Randy was consistently recognized as an elite performer by way of 10 consecutive invitations to the Chairman’s Club from 2004-2013. Before that position, he was a First Vice President-Financial Advisor with Morgan Stanley, where Randy spent the first four years of his career. While at Morgan Stanley, Randy was presented with the National Sales Director Award, an honor and distinction awarded to the top one percent of Advisors with the firm.

When Not in the Office:
Originally from Portland, Oregon, Randy lives in Newport Beach with his wife, Erica. They have two dogs, Scooter and Charlie, who bring a daily dose of energy, joy and entertainment to their lives. As a former NCAA Division I collegiate athlete, Randy enjoys all aspects of sports and fitness. He also enjoys traveling abroad and has a great appreciation for a variety of performing arts.

What Do You Enjoy Most About Your Job?
Competing and winning are the two most rewarding aspects of my job. This industry is extremely competitive and I love competing for an investor’s business and I love winning their trust over time.

What Do You Enjoy Most About Working at KARWA?
What I enjoy most about working at Kayne Anderson Rudnick are the people I work with every day. This group is one of the most thoughtful, intelligent and disciplined bunch of individuals I’ve associated with in my career.

How Does KARWA Approach Wealth Management Differently?
Periods of market volatility can really test an investor’s patience and commitment to their long-term strategy. At Kayne Anderson Rudnick, we intentionally structure portfolios to be defensive during difficult markets. One technique that has been particularly effective for us over the years involves blending alternative investment strategies together with traditional stock and bond portfolios to truly benefit from diversification.

What Do You Hope to Achieve For Your Clients?
When a client says “Randy, I trust you,” it is the ultimate compliment and it represents the very stage in a relationship that I hope to achieve with all of my clients. Trust is something that is earned over time and to hear those words form the clients you represent is a special thing.

Industry Start Date: 2000

KAR Start Date: 2013

Education: B.S. from Arizona State University, M.B.A. in Finance & Strategy from the University of California, Los Angeles (selected for the Student Investment Fund).

Credentials: Series 7, Series 63, Series 65, Series 86, Series 87, Chartered Mutual Fund Counselor (CMFC) license

Recognition:
Darnel was named a Five Star Wealth Manager by Los Angeles Magazine last year, a designation awarded to wealth managers who scored highest in overall satisfaction.

Prior to Joining KAR:
Darnel worked in equity research for KeyBanc Capital Markets covering the gaming and lodging industries. Before working at KeyBanc Capital Markets, Darnel was a Vice President-Financial Consultant for Charles Schwab & Co. During his seven years at Charles Schwab, Darnel provided private-client investment-management services to high-net-worth families.

When Not in the Office:
Darnel loves spending time with his family. He is married to Tamany Vinson Bentz and they have two children, Blaise and Nora. The Bentz’s support the American Cancer Society, the American Heart Association and the Manhattan Beach Education Foundation, among other organizations. Darnel also enjoys travel, reading, skiing, golf and basketball. He currently resides in Manhattan Beach, California.

What Do You Enjoy Most About Your Job?
I really enjoy the collegial, collaborative environment that we have at Kayne Anderson Rudnick. People of all different backgrounds come together and really work hard to help our clients meet their goals.

What Do You Enjoy Most About Working at KARWA?
I love what I do at KAR because I get to see people achieve their retirement goals and dreams, or save for their children’s education. It’s really satisfying to be able to give them peace of mind and confidence in what they’re doing.

How Does KARWA Approach Wealth Management Differently?
With a 30-year history, we’ve seen the ups and downs of the market and we have great experience managing volatility by investing in only the highest-quality companies, along with fixed income and select alternative strategies. We also have a strong track record of playing great defense during the inevitable difficult market environments. This gives our clients a much smoother return along the way.

What Do You Hope to Achieve For Your Clients?
I want my clients to experience the highest-quality service, to gain valuable peace of mind and to have trust and confidence that we are doing all the rights things to help them achieve their goals and dreams for retirement and college savings. I want to allow them to not worry about their investments or any market volatility.

Industry Start Date: 1986

KAR Start Date: 1999

Education: B.A. from the University of California, San Diego, M.A. in Public Policy from George Washington University, M.B.A. from The Wharton School at the University of Pennsylvania.

Credentials: Certified Private Wealth Advisor®

Recognition:
Curt is a member of the Investment Management Consultants Association. He is was named a Five Star Wealth Manager by Los Angeles magazine for the last eight years, a designation awarded to wealth managers who scored highest in overall satisfaction. This resulting list represents less than 2 percent of the wealth managers in the Los Angeles area.

Prior to Joining KAR:
Curt worked as a Financial Adviser at Sanford C. Bernstein & Company.

When Not in the Office:
Curt enjoys spending time with his family. He and his wife, Carolyn, have two daughters, Chloe and Lana. The Birens are involved in several charitable organizations and Curt is an avid golfer, having spent his junior year in college at the University of St. Andrews in Scotland. He also enjoys reading good books about history, politics and religion.

What Do You Enjoy Most About Your Job?
My primary concern is earning the trust of my clients. Our clients look to us to help them with their investments, their wealth and their financial well-being now and over time. Obviously, trust doesn’t happen overnight, but with the kind of assistance and advice that we give them and the high-level of investment management we provide, we earn their trust over time and that’s what I find most gratifying.

What Do You Enjoy Most About Working at KARWA?
My favorite part about Kayne Anderson Rudnick is the culture. When John Anderson co-founded the firm over thirty years ago, he set the tone. John had enormous success in business, but he came from very humble origins in the Mid-West. He provided an ethic to our culture and our organization that was fantastic. John used to say “Doing the right thing is the right thing to do” and that has permeated our organization since.

How Does KARWA Approach Wealth Management Differently?
In this day and age, there’s a lot of concern and confusion about what’s going on in the investment world. Obviously, the economy and the markets go through ups and downs and with all the distraction and noise out there, it’s pretty easy for one to lose one’s way. We take a lot of pride in helping our clients stay on track, in the sophistication of our investment solutions and in keeping our clients really focused on what’s most important.

What Do You Hope to Achieve For Your Clients?
When assisting my clients with their wealth, I don’t focus solely on their investment portfolio. I also try to assist them with their entire financial well-being. To that end, one of the most important aspects of wealth management is listening to our clients. Each client is different. It’s crucial that we understand a client’s situation, goals and objectives. We take our fiduciary responsibility very seriously and we want to make sure that we understand what our clients’ needs are and what they hope to accomplish over time.

Industry Start Date: 1992

KAR Start Date: 2011

Education: B.A. in Classics from the University of Notre Dame (Monogram in NCAA Division I soccer), M.B.A. from Georgetown University’s McDonough School of Business, study abroad experience in Japan and the U.K.

Credentials: Registered Investment Adviser Representative, Series 65, Certificate in Financial Planning (the UK FSA qualification)

Prior to Joining KAR:
Tom worked as Vice President in the Institutional Group for Fisher Investments, a global wealth manager based in Woodside, California. During his nearly 10 years at Fisher Investments, Tom provided private client as well as institutional investment management services to high-net-worth families, public, corporate and multi-employer relationships in the U.S., Europe, Canada and Asia. His depth of knowledge in global capital markets and portfolio management has helped clients make informed decisions regarding their specific financial plans. Tom also served as a Director in the Financial Services Group at Orrick, Herrington & Sutcliffe LLP and was responsible for providing strategic public finance services to state and local governments.

When Not in the Office:
Tom enjoys spending time with his family around San Francisco’s Bay Area. He is married and has four children, and the Connaghans support the Menlo Park-Atherton Education Foundation, Pathways Home Health and Hospice, Lucile Packard Children’s Hospital, St. Raymond’s Catholic Church among other organizations. Tom spends any free time outdoors, as he likes to golf, surf, bike and coach his children’s teams. He also enjoys trying new cooking recipes, recording and playing music and is a loyal fan of Notre Dame Football and Soccer. Additionally, Tom is involved with ProVisors, a network of top-rated professionals that enable Tom to provide his clients with very helpful and knowledgeable referrals.

What Do You Enjoy Most About Your Job?
One of the most rewarding aspects of my job is to work with successful individuals who have incredible life stories. We partner with them to develop a financial plan to help them with financial freedom so they can live the lifestyle they want.

What Do You Enjoy Most About Working at KARWA?
I enjoy working at KAR because of the variety of clients I get to work with. We work with individuals who are in the early stages of their careers and are looking to grow their assets, as well as individuals who are at or nearing retirement and are looking for capital preservation and diversified income streams. We also work with individuals and families who are thinking about the most efficient way to pass on their wealth to future generations.

How Does KARWA Approach Wealth Management Differently?
We do things differently here at Kayne Anderson Rudnick. For over thirty years, we have been solely focused on high-net-worth individuals and investment management. With over a quarter of our employees focused on research, we can offer access to both proprietary strategies not widely available to the general investing public as well as external managers offering best-in-class strategies.

What Do You Hope to Achieve For Your Clients?
I hope to help my clients achieve financial freedom and security. For example, I recently worked with a client who was anticipating a big windfall from his professional endeavor. We worked together to create a plan for when that event would happen – working on income, potential lifestyle changes and how to invest that money tax- efficiently – so that he and his family could enjoy the lifestyle they had worked so hard to achieve.

Industry Start Date: 1957

KAR Start Date: 1995

Education: B.A. and M.A. from the University of California, Los Angeles (elected to the Beta Gamma Sigma Business Administration Honorary in 1959, and to the National Education Honorary Phi Delta Kappa in 1953).

Prior to Joining KAR:
Alan operated his own investment-counseling firm for 36 years.

When Not in the Office:
Alan enjoys spending time with his family. He is married to Sharon and they have three children, Derrell, Robert and Ilene and nine grandchildren. The Lipmans are involved in a number of charitable enterprises, including the Pacific Jewish Center and the Jewish Community Foundation of Greater Los Angeles. The Lipmans also have a foundation that provides funds for students needing special educational opportunities. Alan enjoys hiking and photography and reading history and historically based novels. He currently resides in Santa Monica, California.

Industry Experience Start Date: 2007

KAR Start Date: 2019

Education: B.A. Economics, Trinity College
Alumnus of The Roxbury Latin School

Credentials: CIMA® (Certified Investment Management Analyst), Series 6, 7, 63, 66, 79 licenses. Kevin has also passed Level II of the CFA® examination.

Prior to Joining KAR:
Kevin was a Vice President with Blackstone, based in Boston.

What Do You Enjoy Most About Your Job?
The most rewarding aspect of my job is developing close and trusting relationships with my clients. Financial peace of mind is something that everyone strives for and I feel very fortunate for the opportunity to help my clients achieve that.

What Do You Enjoy Most About Working at KAR?
What I enjoy most about working at KAR are the people that I get to interact with on a daily basis. Being a smaller firm, there is a great deal of collaboration among peers and I am grateful to be able to work with such smart, thoughtful and driven individuals.

What Are You Involved in Outside of Work?
I live in the Boston area with my wife and two sons. We also have a rescue dog named Penny. I enjoy spending time with family, playing hockey, cycling and staying active.

Industry Experience Start Date: 2003

KAR Start Date: 2016

Education: B.A., Technical Sales, Weber State University (graduated magna cum laude)

M.B.A., Cornell University, Johnson School of Management

Credentials: CFA (Chartered Financial Analyst designation), CFP® (Certified Financial Planner)

Prior to Joining KAR:
Sam was a Vice President, Private Banker for Citi Private Bank and a Vice President, Private Client Advisor for JPMorgan.

When Not in the Office:
Sam lives in Salt Lake City, Utah with his wife, Amy and their five children. Together, they enjoy spending time in the mountains and taking trips to the family cabin. Sam enjoys a variety of sports and he is a regular participant in local and regional squash tournaments.

What Do You Enjoy Most About Working at KARWA?
I love connecting with my clients on a personal level and being in touch with them frequently as they make important decisions for themselves and their families. I enjoy working with my colleagues at KAR and I have a firm belief that we are all trying to do what is best for our clients.

How Does KARWA Approach Wealth Management Differently?
KAR is different from many other wealth management firms in that we have the flexibility to build a customized portfolio for each and every one of our clients. I believe that this leads to better outcomes in the long run and a higher level of client satisfaction. I want my clients to feel like I know them as individuals and that I am not just trying to fit them into a pre-determined “bucket” or allocation.

What Do You Hope to Achieve For Your Clients?
First and foremost, I hope to earn my clients’ trust over time by demonstrating that I care about their personal and financial well-being above all. I want my clients to feel like they understand the value that we provide at KAR and that I listen to them and their individual wants and needs. I want my clients to feel confident that they are on the right path to achieve their most important financial objectives and to protect their hard-earned wealth.

Industry Start Date: 2004

KAR Start Date: 2019

Education: B.A. in Economics from UCLA, Certificate in Financial Planning from the California Lutheran University

Credentials: CFP® (Certified Financial Planner™); CDFA® (Certified Divorce Financial Analysts); series 7 and series 66

Prior to Joining KAR:
Grace was a Senior Wealth Manager at BNY Mellon where she provided comprehensive guidance to clients on investment, trust and estate, insurance and banking needs. She also co-led BNY’s Bay Area Family Law national practice group. Prior to that, Grace worked at Kayne Anderson Rudnick as a Wealth Advisor and at Fidelity Investments as an Account Executive where she provided financial planning advice in areas such as investment management, estate planning, tax planning and insurance to high-net-worth families.

When Not in the Office:
Grace enjoys spending time with her family, who lives throughout the Bay Area, trying new restaurants and traveling.

Industry Start Date: 2008

KAR Start Date: 2015

Education: B.S. in Business Administration from Emmanuel College, graduated cum laude
Certificate in Financial Planning from Boston University

Licenses: Series 7, Series 63, Series 65

Prior to Joining KAR:
Bridget was a Portfolio Administrator, Assistance Vice President for One West Bank. Before that position, she was an Account Manager with Adviser Investments, where she spend the first five years of her career.

When Not in the Office:
Bridget enjoys traveling, cooking, skiing and being outdoors. Originally from Boston, she now resides in Venice, California.

Industry Start Date: 2008

KAR Start Date: 2016

Education: B.S. in Finance and Entrepreneurship from the University of Dayton

Credentials: CFP® (Certified Financial Planner)

Prior to Joining KAR:
Aaron worked as a Relationship Manager at Brown Brothers Harriman & Co. where he provided investment and wealth planning advice to high-net-worth individuals, their families, endowments and foundations. He also worked as a Relationship Associate at U.S. Trust, Bank of America Private Wealth Management Group and later as a Wealth Strategies Analyst in their Wealth Planning Group.

When Not in the Office:
Aaron enjoys playing tennis, running, hiking, beach volleyball, reading, traveling and stand-up comedy.

Industry Start Date: 2003

KAR Start Date: 2016

Education: B.A. in economics from San Francisco State University, Certificate of Personal Financial Planning from UC Berkeley and completion of the Cannon Personal Trust curriculum from the Cannon Financial Institute

Credentials: CFP® (Certified Financial Planner™); CTFA (Certified Trust and Financial Advisor)

Prior to Joining KAR:
Christine spent 9 years at First Republic Private Wealth Management where she worked with high-net-worth individuals and families to create customized investment strategies that focused on asset allocation and long-term holistic financial planning. Her experience there also included personal trust and estate administration. Her career in finance started at US Bank where she provided lending and deposit solutions for clients. Christine earned a B.A. in Economics from San Francisco State University, a Certificate of Personal Financial Planning from UC Berkeley and completed the Cannon Personal Trust curriculum at the Cannon Financial Institute. She is a Certified Financial Planner™ and a Certified Trust and Financial Advisor.

When Not in the Office:
Christine enjoys exploring San Francisco as a native, is an avid patron of the arts, serves as a SHE-CAN mentor, an organization that supports young women from Rwanda and Cambodia with a journey to leadership in their country starting with a college education in the U.S. and provides pro bono financial planning in her community as a member of Financial Planning Association of San Francisco.

Industry Start Date: 1979

KAR Start Date: 1991

Education: B.S., Business and Economics, Loyola Marymount University

Prior Work Experience:
Vice President – Shearson Lehman Brothers

What Do You Enjoy Most About Your Job:
There are two aspects of my role that are very rewarding. The first aspect is working with our clients. We have the pleasure of working with a wonderful group of institutional and individual clients and, over the years, we have become very close to our clients. It’s been very rewarding to see the positive impact we have been fortunate to have on our clients and their financial well-being.

The second aspect of my job that I find rewarding is strategic planning for the firm. It has been exciting and rewarding to see the firm evolve over the years as we execute on our business plans. I also enjoy getting the opportunity to watch our employees advance in their careers and the organization as the firm has continued to grow.

What Do You Enjoy Most About Working at KAR:
What I enjoy most about working at KAR are my colleagues. We are a close knit group. We have a number of employees that have been with the firm for 10 to 20 years and that is pretty unusual in most organizations. I think many of us have stayed with the firm for so long because we have shared common values and we work very closely together within those shared values for the benefit of our clients.

What Are You Involved in Outside of Work:
Outside of KAR, I enjoy cycling. I have been cycling, specifically road cycling, for over 10 years. Cycling is great for clearing the mind. I enjoy the close knit group and I tend to find that cyclists generally are people that are motivated, social and have a positive outlook on their lives. Cycling has taken me all over the world and I think the best way to travel is on a bike.

Industry Start Date: 1987

KAR Start Date: 1989

Education: Attended The American University in Cairo, Egypt

What Do You Enjoy Most About Working at KAR:
The special culture of KAR is the primary reason I have been at the firm for over 25 years. We spend many hours of our day away from other things that we enjoy (like our families). So I believe it is very important to work with people that we enjoy, to feel challenged and to have the opportunity to evolve and grow, to have mutual respect with our peers and colleagues and, it goes without saying, to have the highest ethical standards.

We also have a very client-centric attitude. When faced with a difficult situation with multiple options, when you look at it from a client standpoint, the decisions really become easy. This is a guiding principle that we live by and it makes work and decision making much easier when you approach it from that viewpoint.

What Are You Involved in Outside of Work:
Outside of KAR, my main focus is my family. I am fortunate to have a wonderful husband, three kids and let’s not forget the dog. Balancing work and family is always a challenge and, having been at the firm for over 25 years, I find myself very fortunate that work also feels like family to me. I think it is also important to note that I am not unique in this situation. If you look at the employees across the firm, over 40% of our employees have been with us over 15 years and over 20% have been with us over 20 years.

Research Experience Start Date: 1986

KAR Start Date: 2011

Doug Manages: Large Cap Sustainable Growth, Mid Cap Sustainable Growth, All Cap Sustainable Growth

Education: B.S., Marine Engineering, U.S. Naval Academy
M.B.A. , Harvard University

Prior Work Experience:
Director of Equities – HighMark Capital Management
Group Managing Director and Chief Investment Officer of U.S. Equities – Trust Company of the West

What Do You Enjoy Most About Your Job:
When I was in the Navy, investing became a hobby for me. I used to read a lot of books on investing. And I figured out that if I could make a living at a hobby that I enjoyed then it was a good profession to pursue.

What Do You Enjoy Most About Working at KAR:
The most enjoyable part of working at Kayne Anderson Rudnick is the people. It is really a family type of environment. Everyone is truly interested in doing what is best for our clients and, as a firm, we are focused on doing the right thing. The investment group is always interested in learning and becoming better investors. They are always striving to find the best ways to invest our clients’ money and I am truly proud of this as this is how our business should be oriented.

What Are You Involved in Outside of Work:
When I am not in the office I enjoy spending time with my wife and kids. I also love golfing. I spend a fair amount of time trying to improve my game (not that it has worked out that well so far!). I also enjoy boating. I spent a number of years in the Navy and I still enjoy being out in the water to this day.

Research Experience Start Date: 1986

KAR Start Date: 2011

Doug Manages: Large Cap Sustainable Growth, Mid Cap Sustainable Growth, All Cap Sustainable Growth

Education: B.S., Marine Engineering, U.S. Naval Academy
M.B.A. , Harvard University

Prior Work Experience:
Director of Equities – HighMark Capital Management
Group Managing Director and Chief Investment Officer of U.S. Equities – Trust Company of the West

What Do You Enjoy Most About Your Job:
When I was in the Navy, investing became a hobby for me. I used to read a lot of books on investing. And I figured out that if I could make a living at a hobby that I enjoyed then it was a good profession to pursue.

What Do You Enjoy Most About Working at KAR:
The most enjoyable part of working at Kayne Anderson Rudnick is the people. It is really a family type of environment. Everyone is truly interested in doing what is best for our clients and, as a firm, we are focused on doing the right thing. The investment group is always interested in learning and becoming better investors. They are always striving to find the best ways to invest our clients’ money and I am truly proud of this as this is how our business should be oriented.

What Are You Involved in Outside of Work:
When I am not in the office I enjoy spending time with my wife and kids. I also love golfing. I spend a fair amount of time trying to improve my game (not that it has worked out that well so far!). I also enjoy boating. I spent a number of years in the Navy and I still enjoy being out in the water to this day.

Research Experience Start Date: 2005

KAR Start Date: 2013

Sector Coverage: Large-capitalization consumer-discretionary, health-care and technology sectors

Chris Manages: Large Cap Sustainable Growth, Mid Cap Sustainable Growth, All Cap Sustainable Growth

Education: B.A., Business Economics, minor in Accounting, University of California, Los Angeles

Prior Work Experience:
Associate Analyst , Special Situations – B. Riley & Co.
Vice President, Equity Research – Al Frank Asset Management

What Do You Enjoy Most About Your Job:
Every day we come into the office we are challenged with turning over rocks and kicking tires to find high-quality investment opportunities for our clients’ hard-earned money. That discovery process has always been exhilarating for me. It’s like CSI Wall Street, but instead of solving a crime, we are looking for long-term investment opportunities to help our clients meet their long-term financial goals.

What Do You Enjoy Most About Working at KAR:
At KAR, we have an overarching investment philosophy, but the analysts are empowered to work within that discipline to find creative ways to add value to the investment process. I feel very privileged to work alongside some incredibly intelligent and highly credentialed professionals. That structure keeps employees both highly motivated and allows us to build more complete pictures of investment opportunities.

What Are You Involved in Outside of Work:
When I am away from the office, I really value the time that I can spend with my family. I have two young daughters and I love every minute that I get to spend helping them grow and develop. The unpredictability of the stock market pales in comparison to what two young daughters can do when they are running around the house.

Research Experience Start Date: 1999

KAR Start Date: 2002

Sector Coverage: Small and mid-capitalization communication services and energy sectors

Todd Manages: Small Cap Core, Small Cap Sustainable Growth, Small Cap Quality Select, Global Small Cap

Education: B.S., Finance, Northern Arizona University
M.B.A., University of Southern California

Prior Work Experience:
Associate Analyst, Equity Research – Prudential Securities
Equity Research Associate – RNC Capital Management

What Do You Enjoy Most About Your Job:
I love learning about different kinds of very interesting companies—what makes good business and how it can differentiate itself from its competitors. I enjoy the combination of developing an understanding of a business’ unique attributes with the intellectual challenge of investing and the requirement of cultivating a view that is oftentimes different from prevailing wisdom.
Also, the experience of coming into the industry in 1999, when things were pretty euphoric in the market and then living through the market downturns in 2002 and 2008 has given me a lot of perspective in seeing the highs and lows of investor emotions. I believe this helps me maintain objectivity in times when emotions can run high.

What Do You Enjoy Most About Working at KAR:
The most enjoyable part about working at KAR is having the freedom to find investments wherever they may be. I am empowered to manage the portfolio in a way that I truly believe and I am supported by strong analytical resources to help me in this endeavor.

What Are You Involved in Outside of Work:
When I’m not working I like to spend time with my kids coaching their sports teams. My two sons play baseball and I feel like I am reliving my youth with them when I get out there on the field and coach their teams.

I am also involved in helping the public education system in Los Angeles. I am on a Young Professionals Board of the largest charter school organization in the city and we help thousands of inner-city kids get a better education.

Research Experience Start Date: 2008

KAR Start Date: 2013

Sector Coverage: Small and mid-capitalization information technology sector

Julie Manages: Small-Mid Cap Sustainable Growth

Education: B.A., Economics and Psychology, New York University
M.B.A., University of California, Los Angeles

Prior Work Experience:
Equity Research Associate – Imperial Capital
Equity Research Associate – Merrill Lynch

What Do You Enjoy Most About Your Job:
What I love about investing in the sense of discovery. I love learning about new companies, understanding why they have been successful in the past, why they are going to be successful going forward and how they are going to manage in difficult economic conditions. To me, it is really getting under the hood and understanding each individual company that makes this job so fascinating. I truly enjoy being able to look at every single company and realize that there are different questions that need to be answered in order to understand if it is going to make a suitable investment for us.

What Do You Enjoy Most About Working at KAR:
What I really love about working at KAR is the people. There is such a strong sense of comradery. People have a real open-door policy. I have found that the people here are incredibly open and willing to discuss ideas. People take you seriously and they want to hear what you have to say. Some of the informal professional development that I have experienced includes the portfolio managers taking you into their jobs so that one day I can become a portfolio manager. I really appreciate that level of accessibility.

What Are You Involved in Outside of Work:
Outside of work, I ride horses and participate in competitions. I used to ride competitively when I was a kid and I took a long break when I worked on Wall Street. I recently have gotten back into it and I find it to be such good use of my competitive spirit (more so than yoga!). It is so fun to develop a young animal and to see it come along and flourish.

Research Experience Start Date: 1995

KAR Start Date: 2001

Sector Coverage: Small and mid-capitalization health-care sector

Jon Manages: Small Cap Core, Small Cap Sustainable Growth, Small Mid Cap Core and Mid Cap Core

Education: B.S., Mathematics/Applied Science, University of California, Los Angeles
M.B.A., California State University, Long Beach

Prior Work Experience:
Portfolio Manager and Senior Research Analyst – Doheny Asset Management

What Do You Enjoy Most About Your Job:
I really love investing in it. It is an exciting profession to be in because you are always learning something new—a new business model, a new technology, a new consumer product, a new way to conduct business. It can be very humbling, but the beauty of the profession is that you are learning every day that you come into the office.

What Do You Enjoy Most About Working at KAR:
One of the things I enjoy most about working at KAR is the people. I work with a great group of people that continually challenge you intellectually.

One of the other things I truly enjoy is that I fundamentally believe in our high-quality approach to investing. Every day we are examining really great businesses, really digging in and challenging each other as to why these are or are not great businesses. As a result, we all make each other better as investors. That makes coming to work every single day a truly enjoyable experience.

What Are You Involved in Outside of Work:
While I thoroughly enjoy my work, my family is by far the most important thing to me. I have two kids that keep me very busy. I have coached their sports teams since they were three years old. They learn from me but, most importantly, I learn from them as well and that helps me be a better parent.

Outside of that, I read and I love being active. I run, ski and play tennis. I also am very involved in my church.

Research Experience Start Date: 2004

KAR Start Date: 2017

Sector Coverage: Emerging markets and international small cap portfolios

Hyung Manages: Emerging Markets Small Cap , International Small Cap

Education: B.A., German, minor in Economics, Hankuk University of Foreign Studies in Seoul, Korea
M.B.A., University of Chicago, Graduate School of Business

Prior Work Experience:
International Equity Analyst – Advisory Research
Corporate Banking – HSBC and Woori Bank, Seoul, Korea

What Do You Enjoy Most About Your Job:
I really love the intellectually stimulating aspect of investing. I read, think and learn about businesses and industries every day. I get to talk and ask questions to industry experts and management teams around the world. The job doesn’t stop here. I also try to understand what others in the market are thinking and decide if I can form a different view that can ultimately lead to an investment thesis. I will never retire from investing.

What Are You Involved in Outside of Work:
Outside of work, I really value spending time with my family. I also enjoy lifting weights in the gym, playing golf, reading, traveling and watching sports.

Research Experience Start Date: 2001

KAR Start Date: 2001

Sector Coverage: Small and mid-capitalization materials and industrials sector

Julie Manages: Small Cap Quality Value, Small-Mid Cap Quality Value and Small-Mid Cap Core

Education: B.A., Business Economics, University of California, Los Angeles
M.B.A., Harvard Business School

Prior Work Experience:
Goldman Sachs program focused on investment management for high-net-worth individuals
Senior Associate – Arthur Andersen

What Do You Enjoy Most About Your Job:
I feel very lucky that I am in a profession that allows you to be challenged intellectually every day no matter how long you have been in the industry. That makes me very excited to come to work on a daily basis. In fact, I am as enthusiastic today about coming to work as I was on my very first day at Kayne Anderson Rudnick.

What Do You Enjoy Most About Working at KAR:
The most enjoyable part about working at KAR is the culture. No matter how much we have grown (and we’ve grown quite a bit in my time here), it still feels like a small, family-like firm. The first thing you notice is the respect that everyone has for each other on the team. And when I use the word “team,” it is very genuine. It is a very collaborative environment and that helps you grow professionally.

What Are You Involved in Outside of Work:
I’ve always admired those that find time in their busy schedules to help other less fortunate people in need. I was truly honored to join the Board of Trustees of a Los Angeles-based student scholarship foundation several years ago, which I was a recipient of myself as an undergrad at UCLA. There is nothing more rewarding than being involved in young people’s lives and to see their dreams come true.

Research Experience Start Date: 1998

KAR Start Date: 1995

Sector Coverage: Large-capitalization energy, financials and utilities sectors

Richard Manages: Large Cap Quality Value and Global Dividend Yield

Education: B.A., Economics, University of California, Los Angeles
M.B.A. , University of Southern California

Prior Work Experience:
Marketing Analyst – Kayne Anderson Rudnick Investment Management
Operations/Marketing Supervisor – Pilgrim Asset Management

What Do You Enjoy Most About Your Job:
I enjoy the fact that there is always something new to learn. It could be a new business that we have never looked at in the past or it could be re-examining a business that we have haven’t looked at in a number of years. We are constantly getting new pieces of information that give us more knowledge. I love learning about new things and you really get to satisfy your curiosity with this job.

What Do You Enjoy Most About Working at KAR:
I love working at KAR because it is a very collegial and open company. We are not the kind of place where everyone shuts their door and stays to themselves. We work together and we talk about things all the time. From that, you get different perspectives and you learn more than if you are just off on your own. We spend a lot of time together educating each other. I think this leads to more knowledge and, therefore, better investment results for our clients.

What Are You Involved in Outside of Work:
My time outside of work is spent with my family. I have two boys and they keep me busy whether it is helping them with their homework or shuttling them to different activities. We also like to go to the park to play ball and we love to hike. If I have any free time, I love to read history, financial books and if I totally want to escape I’ll read some Stephen King.

Research Experience Start Date: 1989

KAR Start Date: 2000

Sector Coverage: Small and mid-capitalization industrials sector

Craig Manages: Small Cap Quality Value, Small-Mid Cap Quality Value, Small-Mid Cap Core, Mid Cap Core and Global Small Cap

Education: B.S., International Business, San Francisco State University
M.B.A., University of Southern California

Prior Work Experience:
Portfolio Manager – Doheny Asset Management

What Do You Enjoy Most About Your Job:
The investment team is unified in our goal of helping our clients attain financial security. We want to do this by achieving strong returns, but also by making sure that we focus on capital preservation. I truly enjoy working on a team that works so diligently to help our clients achieve their financial goals.

What Do You Enjoy Most About Working at KAR:
What I most enjoy about working at KAR is the people and camaraderie. It’s very important for everyone to have a common belief and all of the investment professionals here at KAR truly believe in our philosophy of investing in high-quality companies. I think it is very rare in our industry to have such strong commonality and cohesion in our investment philosophy.

What Are You Involved in Outside of Work:
I enjoy traveling and I am a hobbyist photographer. During my travels, I like to take my camera and seeing the world through the camera lens gives you a different perspective. This perspective helps me to see that the world is so different in many ways, but people are also very similar and I enjoy exploring these different aspects of the world around us.

Research Experience Start Date: 2004

KAR Start Date: 2008

Sector Coverage: International and emerging markets small cap portfolios

Craig Manages: International Small Cap, Emerging Markets Small Cap, Global Small Cap

Education: B.S., Business and Public Administration, concentration in Finance, University of Arizona
M.B.A. , University of Chicago, Graduate School of Business

Prior Work Experience:
Equity Analyst – Kirr, Marbach & Company

What Do You Enjoy Most About Your Job:
What I enjoy most about investing is that it involves solving a wide range of very complex problems. When you do your work on an investment, you conduct a lot of research and analysis and then you form a hypothesis about the investment you are either going to make or not make. When you do this over a number of companies over a number of years you get to test your investment hypotheses over time. Through this process, you get to learn a lot and I find that to be very fascinating and rewarding.

What Do You Enjoy Most About Working at KAR:
One of the best things about working at KAR is that the firm’s investment philosophy is the same as my own personal investment philosophy. There are a lot of different ways to approach investing, but I believe that if you are going to excel you really need to believe in what you are doing. I spend a lot of time studying and thinking about investing and I really do believe that the most important aspect of any investment decision is the quality of the business. There aren’t a lot of other firms out there that place as much emphasis on business quality as we do here at KAR and that makes it very satisfying for me to come to work every day.

What Are You Involved in Outside of Work:
Outside of work, I really enjoy traveling. I have traveled to over 40 countries outside of the U.S. and I enjoy visiting new places, observing different cultures and seeing how people live throughout the world.

Another thing that I find fulfilling outside of work is participating in the Big Brothers Big Sisters program. I have been a Big Brother for over seven years and my little brother and I have been able to do things together that I am not sure he would have had a chance to do if it were not for the program. Some of the things we have done together include taking him to see snow for the first time and teaching him to ride a bike and to swim. It has been very rewarding to be a part of these activities with him.

Research Experience Start Date: 2012

KAR Start Date: 2012

Sector Coverage: Financials and real estate sector

Chris Manages: Long-Short Strategy

Education:
B.S.E., concentration in Finance, Wharton School, University of Pennsylvania
M.B.A., University of California, Los Angeles

Prior Work Experience:
Senior Associate, Turnarounds, and Restructuring – Alvarez & Marsal
Associate, Investment Banking Financial Institutions Group – Houlihan Lokey Howard & Zukin

What Do You Enjoy Most About Your Job:
Investing is an amazing profession. It is intellectually challenging and dynamic. Your mind is never dull and you are constantly learning.

What Do You Enjoy Most About Working at KAR:
I feel very fortunate every day I come to work at KAR. I am surrounded by bright people that share my passion for investing and a focus on finding high-quality businesses.

What Are You Involved in Outside of Work:
When I am not poring over annual reports, I am busy at home with my two young children. Every day as a parent is a brand new learning experience and it is extremely rewarding, especially the big hug my kids give me each night when I come home from work.

Research Experience Start Date: 2009

KAR Start Date: 2015

Sector Coverage: International and emerging markets small cap portfolios

Education: Bachelor and Master of Macro Economics – Institute of World Economy and Informatization, Moscow, Russia (graduated summa cum laude)
M.B.A., Amos Tuck School of Business, Dartmouth College

Prior Work Experience:
Research Analyst – Mission Value Partners
Equity Research Analyst – Bloomberg

What Do You Enjoy Most About Your Job:
I love investing and really enjoy learning about various business models as I try to figure out what allows companies to succeed or, on the contrary, lose their competitive position and even fail. It’s exciting, intellectually rewarding and humbling – sometimes all at the same time.

What Do You Enjoy Most About Working at KAR:
KAR is unique because of the people. Everyone is a true professional, passionate about what they do and will go out of their way to help one another. It creates an incredible environment.

From a professional standpoint, I highly value that KAR’s investment philosophy aligns with my own. This alignment makes searching and recommending new ideas easy and natural as I’m choosing the same companies I would for my own portfolio.

What Are You Involved in Outside of Work:
I love to travel with my family and learn about new countries, cultures and history.

Research Experience Start Date: 2008

KAR Start Date: 2018

Sector Coverage: Small cap and mid cap portfolios: consumer discretionary and industrials sectors

Education: B.S.B.A, Finance, minor in Accounting, University of Denver

Prior Work Experience:
Analyst – Madison Street Partners
Analyst – Denver Investments

What Do You Enjoy Most About Your Job:
I enjoy learning about the competitive positioning of businesses and the evolving nature of markets. The ongoing change of this environment fosters an intellectually stimulating and exciting industry to spend my professional time.

What Do You Enjoy Most About Working at KAR:
The most enjoyable aspect of working at Kayne Anderson Rudnick is the people and our shared approach to investing in high-quality businesses. The team’s common approach to investing in high-quality companies promotes an intellectually stimulating environment as we search and learn about businesses across industries and over time.

What Are You Involved in Outside of Work:
Outside of work, I enjoy spending time with my family and getting in the ocean as much as possible. I recently became a father and it is truly a wonderful experience to share and be a part of my daughter’s learning and getting exposure to new things.

Research Experience Start Date: 2014

KAR Start Date: 2018

Sector Coverage: International and emerging markets small cap portfolios

Education: B.A., Economics, Cornell University

Prior Work Experience:
Equity Research Analyst – DWS Asset Management

What Do You Enjoy Most About Your Job:
I love the sense of discovery that comes with researching a new idea. We get to come in every day and learn something new about what makes certain businesses succeed and fail. Whether we choose to invest or not, almost nothing we learn goes to waste. This makes the job exciting and meaningful and that accumulated knowledge compounds over time. I feel incredibly lucky to be doing something intellectually stimulating that I believe in and am passionate about while being surrounded by people who feel the same.

What Do You Enjoy Most About Working at KAR:
We spend a lot of time assessing the culture of other companies, but what I’ve experienced at KAR sets the bar pretty high. It’s not just about passion and intelligence – it really comes together when everyone operates under the same investment philosophy and is focused on finding great businesses expanding their edge over competitors. This collaborative environment makes it impossible not to learn something new every day.

What Are You Involved in Outside of Work:
I enjoy pretty much any sport and try to run every day. Outside of work, I love to hike and travel to countries a little outside my comfort zone. In New York, I was involved with a Big Brother program called iMentor for four years and plan to join something similar in Los Angeles.

Research Experience Start Date: 2013

KAR Start Date: 2018

Sector Coverage: Small cap and mid cap portfolios: consumer staples, financials and industrials sectors

Education:
B.A, Operations Research and Management Science, University of California, Berkeley
M.B.A., Columbia Business School

Prior Work Experience:
Equity Research Analyst – Diamond Hill Capital Management.
Equity Research Associate – Dodge & Cox

What Do You Enjoy Most About Your Job:
I find the work of investing a joy because of the continuous discovery and knowledge accumulation. I live for the moments when learning about a company I realize there might be something special there and it sets off for me a thrilling chase to verify that inkling and to fully understand each aspect of the business that contributes to that specialness. Each incremental discovery adds to my understanding of business and competition. That feeling of growth keeps me motivated and excited throughout.

What Do You Enjoy Most About Working at KAR:
What I love the most about KAR is working with people who each individually have a deep passion for investing and a strong desire to continuously improve at it. I am invigorated every day by the atmosphere of shared striving to hone the craft. The best part of our entire team is that each member is warm, friendly and enthused to help you. The discussions we have, challenging our ideas and exploring new avenues of thinking, have each time made me better – and that is a feeling that I treasure.

What Are You Involved in Outside of Work:
Outside of the office, I spend a good amount of my time on fitness. I enjoy being active not only because of the endorphin rush post-workout but also because of the opportunity to get a little better and go a little further each time. I am also constantly on the lookout for new songs that move me, great fiction stories that resonate with me, comedians well-versed on the human condition and well-researched psychology lectures that can teach me about who we are.

Industry Experience Start Date: 1997

KAR Start Date: 2016

Education: B.S., Psychology, University of Utah

M.B.A., Johnson Graduate School of Management, Cornell University

Prior Work Experience:
Regional Vice President, Private Client Group – Fidelity Investments
Chief Operating Officer – Rady Asset Management

What Do You Enjoy Most About Your Job:
I have always enjoyed the constant changes the financial markets have to offer. In my role, I have the pleasure of working with a wide array of people (individuals, prospects, financial advisors, consultants, etc.) which can take the conversations in many directions. These relationships are what I find most satisfying about my job.

What Do You Enjoy Most About Working at KAR:
I enjoy the collaborative and thought-provoking environment the KAR culture provides. The firm’s focus on uncovering great businesses and taking a disciplined long-term approach aligns well with my own personal philosophy.

What Are You Involved in Outside of Work:
I enjoy surfing, skiing, snowboarding and spending time with my family.

Prior to joining Kayne Anderson Rudnick in 2019, Mr. May worked as a product specialist covering domestic and international equity strategies at Virtus Investment Partners and as a senior portfolio manager and ETF specialist in the Global Structured Products Group at SSgA. He has approximately 30 years of investment experience. Mr. May earned a B.A. in Finance from Bentley University and an M.B.A. from Boston College.  Mr. May is a Chartered Financial Analyst charterholder.

Industry Start Date: 1979

KAR Start Date: 1991

Education: B.S., Business and Economics, Loyola Marymount University

Prior Work Experience:
Vice President – Shearson Lehman Brothers

What Do You Enjoy Most About Your Job:
There are two aspects of my role that are very rewarding. The first aspect is working with our clients. We have the pleasure of working with a wonderful group of institutional and individual clients and, over the years, we have become very close to our clients. It’s been very rewarding to see the positive impact we have been fortunate to have on our clients and their financial well-being.

The second aspect of my job that I find rewarding is strategic planning for the firm. It has been exciting and rewarding to see the firm evolve over the years as we execute on our business plans. I also enjoy getting the opportunity to watch our employees advance in their careers and the organization as the firm has continued to grow.

What Do You Enjoy Most About Working at KAR:
What I enjoy most about working at KAR are my colleagues. We are a close knit group. We have a number of employees that have been with the firm for 10 to 20 years and that is pretty unusual in most organizations. I think many of us have stayed with the firm for so long because we have shared common values and we work very closely together within those shared values for the benefit of our clients.

What Are You Involved in Outside of Work:
Outside of KAR, I enjoy cycling. I have been cycling, specifically road cycling, for over 10 years. Cycling is great for clearing the mind. I enjoy the close knit group and I tend to find that cyclists generally are people that are motivated, social and have a positive outlook on their lives. Cycling has taken me all over the world and I think the best way to travel is on a bike.

Research Experience Start Date: 1986

KAR Start Date: 2011

Doug Manages: Large Cap Sustainable Growth, Mid Cap Sustainable Growth, All Cap Sustainable Growth

Education: B.S., Marine Engineering, U.S. Naval Academy
M.B.A. , Harvard University

Prior Work Experience:
Director of Equities – HighMark Capital Management
Group Managing Director and Chief Investment Officer of U.S. Equities – Trust Company of the West

What Do You Enjoy Most About Your Job:
When I was in the Navy, investing became a hobby for me. I used to read a lot of books on investing. And I figured out that if I could make a living at a hobby that I enjoyed then it was a good profession to pursue.

What Do You Enjoy Most About Working at KAR:
The most enjoyable part of working at Kayne Anderson Rudnick is the people. It is really a family type of environment. Everyone is truly interested in doing what is best for our clients and, as a firm, we are focused on doing the right thing. The investment group is always interested in learning and becoming better investors. They are always striving to find the best ways to invest our clients’ money and I am truly proud of this as this is how our business should be oriented.

What Are You Involved in Outside of Work:
When I am not in the office I enjoy spending time with my wife and kids. I also love golfing. I spend a fair amount of time trying to improve my game (not that it has worked out that well so far!). I also enjoy boating. I spent a number of years in the Navy and I still enjoy being out in the water to this day.

Industry Start Date: 1987

KAR Start Date: 1989

Education: Attended The American University in Cairo, Egypt

What Do You Enjoy Most About Working at KAR:
The special culture of KAR is the primary reason I have been at the firm for over 25 years. We spend many hours of our day away from other things that we enjoy (like our families). So I believe it is very important to work with people that we enjoy, to feel challenged and to have the opportunity to evolve and grow, to have mutual respect with our peers and colleagues and, it goes without saying, to have the highest ethical standards.

We also have a very client-centric attitude. When faced with a difficult situation with multiple options, when you look at it from a client standpoint, the decisions really become easy. This is a guiding principle that we live by and it makes work and decision making much easier when you approach it from that viewpoint.

What Are You Involved in Outside of Work:
Outside of KAR, my main focus is my family. I am fortunate to have a wonderful husband, three kids and let’s not forget the dog. Balancing work and family is always a challenge and, having been at the firm for over 25 years, I find myself very fortunate that work also feels like family to me. I think it is also important to note that I am not unique in this situation. If you look at the employees across the firm, over 40% of our employees have been with us over 15 years and over 20% have been with us over 20 years.

Industry Start Date: 1987

KAR Start Date: 1998

Education: Attended the University of Southern California

Credentials: Member of the California Society of Municipal Analysts

Prior to joining KAR: Kim was responsible for management of fixed-income trading, fundamental research and portfolio management, specializing in municipal-credit analysis for a specialty-management firm in Beverly Hills.

What Do You Enjoy Most About Your Job:
I love the multiple aspects of my job—analyzing taxable and municipal credits, trading in a negotiated market and helping clients understand the bond market and using it to meet their financial goals.

What Do You Enjoy Most About Working at KAR:
What I enjoy most about working at KAR is the varied perspectives everyone brings to the table when looking at the capital markets. I also enjoy the friendly manner in which we all share those opinions.

What Are You Involved in Outside of Work:
I am currently transitioning from an involved parent to an empty nester. This means I am currently looking for my next charitable organization that could use my help.

Industry Start Date: 1993

KAR Start Date: 2004

Education: B.S. in Industrial and Labor Relations from Cornell University (awarded the Cornell Tradition Fellowship for leadership and academic achievement and played varsity football)

Recognition:
Spuds is ranked #1 on Barron’s Top 100 Independent Financial Advisors list for the fourth year in a row and has been among the top 10 nationally for the last eight years. He is also ranked on Forbes’ list of the Top 100 Wealth Advisors for the second year and he has been named a Five Star Wealth Manager by Los Angeles magazine for the last 10 years. Spuds is a Certified Private Wealth Advisor^® professional and he formerly served on the Fidelity Wealth Advisor Solutions^® Client Advisory Council. In addition, Spuds has been quoted in the Wall St. Journal, Barron’s, Investment News, Investors’ Business Daily, Wealthmanagement.com and Forbes.

Prior to Joining KAR:
Spuds worked as the National Mid-Plan Sales Manager for Financial Engines, a firm founded by Nobel Laureate, Dr. William Sharpe, to provide institutional-quality investment advice to millions of investors. Before working at Financial Engines, Spuds was a Retirement Plan Consultant for Retirement Plan Strategies, after spending the first four years of his career in a variety of roles at Franklin Templeton Funds.

When Not in the Office:
Spuds strives to have a balanced life and spend as much time as possible with his family. He married his high school sweetheart, Ann and they have four children; Emmet, Mary Clare, Finn and Margot. The Powells support The Lucile Packard Children’s Hospital, St. Thomas the Apostle School, Westcoast Sports Associates, the Manhattan Beach Education Foundation and Loyola High School, among other organizations. Spuds enjoys playing sports and cooking and is a loyal fan of the San Francisco Giants, San Francisco 49ers and Notre Dame Football.

What Do You Enjoy Most About Your Job?
I feel very lucky to do what I do and there’s a lot about it that I enjoy. The most rewarding aspect of my job is developing very close, personal and trusting relationships with my clients. I love putting in the time and effort necessary to truly understand what they’re trying to accomplish with their wealth and developing a customized investment strategy to help them achieve that financial peace of mind that they’re looking for.

What Do You Enjoy Most About Working at KARWA?
I love working with so many amazing people! Our firm prides itself on having a corporate culture built on integrity, honesty and trustworthiness and the people here walk that walk. They’re very smart, experienced, friendly, warm and willing to help each other and our clients. I feel grateful to be able to work with them.

How Does KARWA Approach Wealth Management Differently?
We have a proven ability to play great defense and protect our clients’ wealth during difficult markets. One of the ways we have had success in this area is through the utilization of asset classes that perform differently from equities and fixed income, what we refer to as alternative investments. One of the few guarantees in our industry is that there will be periods when the stock market does poorly. By allocating a portion of our clients’ wealth to assets that perform well during those periods when equities struggle, we can generate better performance with less risk than many of the firms in our industry.

Another thing that I appreciate about KAR is that we manage the wealth of our senior investment professionals and principals. I’m always very proud to tell prospective clients and existing clients that we are a classic example of a firm that “eats its own cooking” by investing alongside clients in the same portfolios.

What Do You Hope to Achieve For Your Clients?
I strive to provide my clients with financial peace of mind, the notion that with the investment strategy that we’ve implemented for them, they’ll never have to worry about money again.

Industry Start Date: 2008

KAR Start Date: 2015

Education: B.S. in Finance from the Indiana University, Kelley School of Business

Licenses: Series 7

Prior to Joining KAR:
Michele was an Account Services Manager for Chamberlain Group. Before that position, she was a Senior Portfolio Consultant with Stifel Nicolaus, where Michele spent the first five years of her career.

When Not in the Office:
As a former NCAA Division 1 collegiate for Track & Field, Michele enjoys anything related to running. She also enjoys watching sports, playing golf and cooking. Originally from the Midwest, she currently resides in Los Angeles, California.

Industry Start Date: 2015

KAR Start Date: 2020

Education: Tulane University, BS Public Health & BS Environmental Biology (2009-2013)

Licenses: AIF (Accredited Investment Fiduciary); CA Life, Accident & Health Insurance

Prior to Joining KAR:
Mae was the Reporting Analyst and Operations Manager with a focus on firm-level project management to manage the full-cycle of client service for Asset Management and Institutional clients at North Pier Fiduciary Management.

When Not in the Office:
A native Angeleno, Mae is a forever Laker and also follows the Esports scene closely. Mae enjoys film, comics, yoga, swimming and is an avid year-round ice cream maker.

Industry Start Date: 2006

KAR Start Date: 2017

Education: B.S., Business Administration from the University of Southern California, Marshall School of Business

Licenses: Series 65

Prior to Joining KAR:
Rosalie was an Assistant Vice President for Oakwood Capital Management. Before that position, she was a Client Operations Associate with Fisher Investments. She has also worked in international finance as an intern with various banks such as Bank of America and Union Bank.

When Not in the Office:
Rosalie enjoys traveling, soccer, the beach and giving back to the community. She is a Southern California native who grew up in Manhattan Beach and currently resides in Los Angeles.

Industry Experience Start Date: 2007

KAR Start Date: 2017

Education: B.A., Sociology from Northern Illinois University and Personal Financial Planning Certification from University of California, Los Angeles.

Licenses: Series 6 and 63

Prior to Joining KAR:
Erin was a Client Service Associate II for Edelman Financial. Before that position, she was an Office Manager with PlanWealth, Inc.

When Not in the Office:
Erin enjoys the beach, hiking and rooting for New England sports.

Industry Experience Start Date: 2009

KAR Start Date: 2015

Education: B.S., Financial Services, California State University, Northridge

Prior to Joining KAR:
Evans was a Client Service Associate at OneWest Bank and a Relationship Service Manager at Bank of America.

When Not in the Office:
Evans enjoys playing table tennis, golfing, snowboarding, hiking and traveling. His favorite sports team is the Miami Dolphins. Originally raised in Germany, he currently resides in Glendale, California with his wife and daughter.

Industry Experience Start Date: 2008

KAR Start Date: 2017

Education: B.A., Cultural Anthropology, University of California, Santa Barbara

Prior to Joining KAR:
Edwin was a Client Associate at Neuberger Berman Investment Advisers. Before that position, he supported wholesalers and independent advisors as a Sale Associate for AssetMark and he also worked as a personal banker at Wells Fargo for six years.

When Not in the Office:
Originally from Torrance, CA, Edwin is a Los Angeles Dodgers and Lakers fan. He is also an avid snowboarder and enjoys wakeboarding and cooking.

Industry Start Date: 1999

KAR Start Date: 2012

Education: Bachelor of Science in Business Management

Prior to Joining KAR:
Darryl held various positions in client servicing, operations and compliance at our sister firm, SCM Advisors LLC in San Francisco. He was also the Sr. Operations Manager at BlackShip Capital Management, LP, a small private equity firm in San Mateo, CA.

When Not in the Office:
Originally from Sacramento, Darryl currently resides in Livermore, California, with his wife, Victoria.

Industry Start Date: September 9, 2019

KAR Start Date: September 9, 2019

Education: University of California, Riverside (UCR)

Prior to Joining KAR:
Worked part-time in UCR’s Undergraduate Admissions Office while studying for my Bachelor’s Degree in Business Management (from 2015-2019)

When Not in the Office:
I love to play soccer and I am a youth soccer coach for AYSO.  I enjoy going on family outings, such as archery tag, foot golf and bubble soccer.

Industry Start Date: 1987

KAR Start Date: 1998

Education: Attended the University of Southern California

Credentials: Member of the California Society of Municipal Analysts

Prior to joining KAR: Kim was responsible for management of fixed-income trading, fundamental research and portfolio management, specializing in municipal-credit analysis for a specialty-management firm in Beverly Hills.

What Do You Enjoy Most About Your Job:
I love the multiple aspects of my job—analyzing taxable and municipal credits, trading in a negotiated market and helping clients understand the bond market and using it to meet their financial goals.

What Do You Enjoy Most About Working at KAR:
What I enjoy most about working at KAR is the varied perspectives everyone brings to the table when looking at the capital markets. I also enjoy the friendly manner in which we all share those opinions.

What Are You Involved in Outside of Work:
I am currently transitioning from an involved parent to an empty nester. This means I am currently looking for my next charitable organization that could use my help.

Industry Start Date: 1999

KAR Start Date: 1999

Education: B.A. in Economics from the California State University, Long Beach (graduated cum laude)

Credentials: Certificate in Financial Planning from the University of California, Los Angeles

What Do You Enjoy Most About Your Job:
What I enjoy most about my job is following all the news and economic data and watching the market reaction. I also really enjoy learning the stories of our clients and what brought them to KAR.

What Do You Enjoy Most About Working at KAR:
What I enjoy most about working at KAR are the people. Everyone is very family oriented and it makes for such a pleasant environment to come to every day.

What Are You Involved in Outside of Work:
Outside of KAR, I enjoy taking care of my vegetable garden, home roasting coffee and traveling to new places with my husband.

Industry Start Date: 2000

KAR Start Date: 2014

Education: B.S. in Economics, with concentrations in Finance and Marketing, from the Wharton School at the University of Pennsylvania

Credentials: Series 7, Series 63

What Do You Enjoy Most About Your Job:
I really enjoy how dynamic the fixed-income market is—yields change on a daily basis and bonds that once looked expensive can suddenly become very cheap. Also, since we have such a large municipal bond portfolio, I get to read up on the economic and cultural importance of various municipalities across the nation, which not only helps me with my job but also gives me great travel ideas!

What Do You Enjoy Most About Working at KAR:
I like the team we have at KAR. There is an open flow of ideas and everyone brings a unique perspective when making investment decisions.

What Are You Involved in Outside of Work:
Outside of KAR, I am a board member of the University of Pennsylvania Alumni Association of Southern California, organizing events for all Penn alumni in Los Angeles.

Industry Experience Start Date: 1991

KAR Start Date: 1995

Education: B.A., Economics, University of California, Los Angeles

M.B.A., University of California, Los Angeles

Prior Work Experience: Investor Relations Representative – T. Rowe Price Associates

Industry Experience Start Date: 1996

KAR Start Date: Consultant – 4/17/17; Permanent – 10/1/18

Education: MBA, Marshall School of Business – University of Southern California

BA, Economics – University of California, Irvine

Prior Work Experience: First Pacific Advisors – SVP of Operations

Tradewinds Global Investors – SVP Co-Manager Portfolio Administration & Asst. Portfolio Mgr.

Roxbury Capital – Assistant Portfolio Manager

NWQ Investment Management – Supervisor Managed Accounts Department

Industry Experience Start Date: 1995

KAR Start Date: 1998

Education: B.S., Kinesiology, University of California, Los Angeles

Prior Work Experience: Mutual Fund Trader (Institutional Clients) – T. Rowe Price Mutual Funds

Industry Experience Start Date: 2002

KAR Start Date: 2015

Education: B.S.B.A., Finance, Northeastern University

M.B.A., University of Connecticut

Prior Work Experience: 

Trader for Domestic and International Equities for Various Institutional Strategies – Artio Global Investors (formerly Julius Baer)

Head of Trading for a Small Hedge Fund

Industry Experience Start Date: 2001

KAR Start Date: 2017

Education: Southern University, Louisiana

Prior Work Experience: Consultant – KAR

NWQ & Tradewinds

What Do You Enjoy Most About Your Job:
I enjoy the group of people I work with the most.

What Are You Involved in Outside of Work:
I have 2 kids and my youngest is in high school and involved in sports. We spend a lot time at practices and meets.

Industry Experience Start Date: 1993

KAR Start Date: 1993

Education: Finance Major, Texas Tech University

Prior Work Experience: Banking

What Do You Enjoy Most About Your Job:
I like the fact that no two days are the same. There is always something different so that keeps it interesting.

Industry Experience Start Date: 2003

KAR Start Date: 2016

Education: B.S., Business Administration, University of California, Riverside

Prior Work Experience: Institutional Trader Tradewinds Global Investors/Nuveen Investments

Institutional Trading Assistant/Coordinator – NWQ Investment Management Company/Nuveen Investments

What Do You Enjoy Most About Your Job:
What I enjoy most about my job is that there is always something to learn, which I find to be a great privilege.

What Do You Enjoy Most About Working at KAR:
What I enjoy most about working here is the culture and the people. KAR is truly a team-oriented environment, as everyone is willing to help no matter how chaotic their day might be at the moment.

What Are You Involved in Outside of Work:
Outside of work, I love spending time with my family and two children, who keep me constantly busy with their hobbies.

Industry Experience Start Date: 2002

KAR Start Date: July, 2020

Education: BS in Business Administration from the University of Kansas, MBA in Finance from Emory University

Prior Work Experience: 1996-2000 Koch Industries, Inc (International Commodity Trader) Wichita, KS

2002-2007 Credit Suisse (International Sales Trader) New York, NY and London, ENG

2007-2012 Artio Global Investors (Senior Trader) New York, NY

2012-2013 Vinik Asset Management (Senior Trader) Tampa, FL

2013-2015 Kopernik Global Advisors (Head of EMEA Trading) Tampa, FL

2015-2019 Monashee Investment Management (Head of International Trading) Boston, MA

2019 Vinik Asset Management (Senior Trader) Tampa, FL

What Are You Involved in Outside of Work:
When I am not at work, I am spending time with my wife and three kids, which usually means I’m either on a flag football field, in a basketball gym, or at a hockey rink.

Industry Experience Start Date: 1997

KAR Start Date: 2017

Education: B.A. University of California at Berkeley

Prior Work Experience: Tradewinds Global Investors

NWQ, Provident Investment Counsel

What Do You Enjoy Most About Working at KAR:
What I enjoy most about working at KAR are the people.

What Are You Involved in Outside of Work:
Outside of work, I enjoy spending time with my husband and family by staying active and enjoying the great outdoors.

Industry Experience Start Date: 1998

KAR Start Date: 2016

Education: B.A., Economics and Political Science, Boston College University

Executive M.B.A., Certificate in Finance, University of California, Los Angeles

Prior Work Experience: Vice President, Investment Operations – Nuveen Investments

Associate Vice President, Accounting Manager – Ares Investments LLC

Industry Experience Start Date: 2004

KAR Start Date: 2019

Education:
J.D., Chicago-Kent College of Law, Illinois Institute of Technology
M.B.A., Finance and International Business, DePaul University
B.S. Business Administration, major in Accounting, The University of Arizona

Prior Work Experience:
Chief Compliance Officer, Driehaus Capital Management
Compliance Officer, PIMCO
Senior Compliance Analyst, Driehaus Capital Management

Industry Experience Start Date: 1999

KAR Start Date: 2013

Education: B.T., Indian Institute of Technology in India

M.S., University of Maryland

Prior Work Experience:

Vice President, Software Development for Derivatives and Commodities Trading – Union Bank

Assistant Vice President – City National Bank

Industry Experience Start Date: 2002

KAR Start Date: 2007

Education: B.A., Psychology, Azad University in Tehran

Prior Work Experience: Network Administrator – Metrocities Mortgage

Industry Experience Start Date: 1996

KAR Start Date: 2008

Education: B.A., Business Economics (Accounting Emphasis), University of California, Santa Barbara

Prior Work Experience:

First Vice President, Controller – Countrywide Home Loans Global Markets Division

Accounting Manager – Roxbury Capital Management

Industry Experience Start Date: 1993

KAR Start Date: 1999

Education: B.A., Business Economics, University of California, Santa Barbara

Prior Work Experience:
Senior Communications Specialist – Capital Guardian Trust Company
Marketing Associate – Mercer Global Advisors

What Do You Enjoy Most About Your Job:
What I enjoy most about my job is that each day presents a new opportunity to learn and to grow. On a daily basis, we deal with a wide range of projects and tasks for our clients and prospects and it is very rewarding to come up with solutions that meet all of the required objectives. I am fortunate to be able to offer up creative solutions within my position and that always makes the problem solving more fun.

What Do You Enjoy Most About Working at KAR:
As like most people at KAR, what I enjoy most about working here is the culture and the people. It is such a collegial environment and that really makes it easy to come to work every day. The culture is also very oriented toward balance in our work and personal lives and that is so appreciated as we all try to effectively manage all aspects of our lives.

What Are You Involved in Outside of Work:
Outside of work I love to spend time with my two children. They are very active in sports and extracurricular activities and I like to be able to participate and be there for all of their events. Outside of that, I also love to travel and spend time exploring new cities and cultures.

Industry Experience Start Date: 2002

KAR Start Date: 2004

Education: B.A., Sociology, California State University, Northridge
J.D., Glendale University College of Law

Prior Work Experience:
Presentation Development Coordinator – Capital Guardian Trust Company

What Do You Enjoy Most About Your Job:
What I enjoy most about my job is the constant challenge. There is always something new to learn which creates the opportunity to continuously grow.

What Do You Enjoy Most About Working at KAR:
I truly enjoy the people and culture at KAR. I work with a great group of people and I look forward to coming to work every day.

What Are You Involved in Outside of Work:
Outside of work I love to spend time with my family. I also enjoy traveling, going to concerts and being active.