Firm Bio:
SPEARHEAD is a boutique financial services firm focused on providing customized solutions for Ultra High-Net Worth Individuals, Family Offices, and Asset Management firms. We strive to provide long-term value to clients on an after income tax and estate tax basis by combining balance sheet risk management techniques together with investment management strategies.
Speaker Bio:
James Hickey serves as the Managing Director of Alternative Strategies for Spearhead.
Prior to this role, Mr. Hickey served as Chief Investment Strategist for Avantax, an independent broker-dealer & registered investment advisor with over $80B in assets. In this role, Mr. Hickey oversaw investment strategy, home office portfolios, and market research.
Prior to Avantax, Mr. Hickey served as Vice President and Portfolio Manager for FDO Partners (“FDO”), a $3B quant investment firm founded by Harvard Business School Professor Ken Froot. In this role, Mr. Hickey oversaw FDO’s alternative investing.
Prior to FDO, Mr. Hickey served as the Managing Director and CIO of the RiverRock Group and as President of RiverRock Securities, LLC, a licensed broker-dealer..
Previously, Mr. Hickey served as Vice President of Mergers and Acquisitions for Aveta, the largest privately held Medicare Advantage health insurance company in the United States. Mr. Hickey also co-founded the health insurance company Touchstone Health Partnership, which he grew from concept to $50mil in revenue. In addition, Mr. Hickey served as a management consultant at Computer Sciences Corp. where he focused on insurance and healthcare.
Mr. Hickey received his MBA with honors from The Wharton School, University of Pennsylvania, and his bachelor’s degree with high honors from Harvard University.
Mr. Hickey holds the Chartered Financial Analyst (CFA) designation and the FINRA Series 7, 24, 27, 66 and 79 registrations.
Mr. Scott has worked at Closed-End Fund Advisors since 2001. He holds the FINRA 66 License and the Certified Fund Specialist designation (CFS). He is a graduate of The College of William and Mary and has been quoted and interviewed widely in the financial press and presented at conferences and for investment groups on more than 50 occasions.
Vlad Bulkin understands the unique needs of business development companies (BDCs) and registered closed-end funds (CEFs). From fund formation to capital raising activities, he brings industry-leading experience to clients at any stage. He has extensive transactional experience for BDCs and CEFs, including public and private securities offerings and strategic transactions.
Mike Taggart, CFA is the founder and CEO of Taggart Fund Intelligence. Previously, he worked in the closed-end fund group at Nuveen, and before that he was the head of U.S. closed-end fund research at Morningstar. He has spent nearly half his career covering closed-end funds.
Mr. Penn follows business development companies. Prior to joining Oppenheimer and Co. he followed business development companies at Janney Montgomery Scott. In addition, he was an Equity Portfolio Manager/Financial Analyst at Legg Mason Capital Management from 2001 to 2012 where he specialized in financial companies. From 1996 to 2001 he managed a $400M fixed income portfolio at Legg Mason Capital Management. Prior to joining Legg Mason Mr. Penn managed a $15B fixed income portfolio at Aetna. He also worked for Price Waterhouse from 1981 to 1985.
Christian Oberbeck is Chairman, CEO, and co-founder of Saratoga Partners, a New York-based private alternative investment firm and Chairman and CEO of Saratoga Investment Corp. a publicly traded (New York Stock Exchange) Business Development Company. Mr. Oberbeck has been a Trustee since 1990 of a private foundation that donates primarily to education-oriented charities and scholarships. He started the Renaissance Scholars Fund at Phillips Exeter Academy in 1997 and at Brown University in 2004. He has been a member of the World Presidents’ Organization and Chief Executives Organization for many years and serves on the Board of Visitors at The Children’s Hospital of Philadelphia, on the PEN America Board and on the Dean’s Council at the Harvard Kennedy School.
Nicholas Marshi is a co-founder and Chief Investment Officer (CIO) of BDC Investment Advisors (BDCIA) www.bdcia.com – a California Registered Investment Advisor. BDCIA specializes in the Business Development Company (“BDC”) sector – investing in both common stocks and bonds. BDCIA’s principal activity is managing an investment fund: BDC Fund II, which was launched in 2009. Mr Marshi is responsible for the firm’s investment management. Mr Marshi is also the editor of the BDC Reporter (see below), the leading online publication dedicated to the BDC sector, as well as the BDC Credit Reporter.
Rajneesh Vig, Managing Director, is a member of BlackRock’s Global Credit Platform and Chairman and CEO of BlackRock-TCP Capital Corp (NASDAQ: TCPC). He is Co-Head of US Private Capital and is the Investment Committee Chair for BlackRock’s US Private Capital (USPC) business.
Erik Bissonnette, Managing Director, Co-Head of Technology Investing
Mr. Goldstein is a Partner and Co-Head of the Ares Credit Group. He serves on the Ares Executive Management Committee. He additionally serves as Co-President of ARCC and Vice President and interested trustee of CION Ares Diversified Credit Fund. He is a member of the Ares Credit Group’s U.S. Direct Lending, Pathfinder Fund, Pathfinder Core Fund and Commercial Finance Investment Committees and the Ivy Hill Asset Management Investment Committee. Prior to joining Ares Management in May 2005, Mr. Goldstein worked at Credit Suisse First Boston, where he was a Managing Director in the Financial Sponsors Group. At CSFB, Mr. Goldstein was responsible for providing investment banking services to private equity funds and hedge funds with a focus on M&A and restructurings as well as capital raisings, including high yield, bank debt, mezzanine debt, and IPOs. Mr. Goldstein joined CSFB in 2000 at the completion of the merger with Donaldson, Lufkin & Jenrette. From 1998 to 2000, Mr. Goldstein was at Indosuez Capital, where he was a member of the Investment Committee and a Principal, responsible for originating, structuring and executing leveraged transactions across a broad range of products and asset classes. From 1993 to 1998, Mr. Goldstein worked at Bankers Trust. He also serves on the Board of Managers of Ivy Hill Asset Management GP, LLC. Mr. Goldstein graduated summa cum laude from the State University of New York at Binghamton with a B.S. in Accounting and received an M.B.A. from Columbia University’s Graduate School of Business.
Casey Alexander is a Managing Director – Research Analyst with Compass Point covering the Business Development Companies, which he has been following since 2009. He also covers The Golf Equipment Industry since 1996 and the Specialty Insurance industry. Prior to joining Compass Point in 2016 he was the Director of Research, a Special Situations Analyst, and a member of the Gilford Securities Board of Directors. Prior to joining Gilford Securities Inc. Mr.Alexander spent eight years with PaineWebber Inc. During his tenure at PaineWebber, Mr.Alexander filled multiple roles including Head of Over-the-Counter Marketing, Divisional Sales Manager and Branch Manager. Mr. Alexander successfully completed the PaineWebber Equity Institute portfolio management program. Mr. Alexander has also been employed by Prudential Securities and E.F. Hutton during his 40-year career in the securities business. Mr. Alexander is a tournament golfer and has been ranked as one of the top amateur tournament golfers during his career.
Chuck Jaffe is a syndicated financial columnist and the host of “Money Life with Chuck Jaffe,” a one-hour weekday financial talk show (moneylifeshow.com).
Andy Hall, Managing Director, Nasdaq New Listings
Mr. Sarner joined Capital Southwest in the Summer of 2015 and brings over 20 years of financial, treasury & BDC experience. Before joining the Company, he spent 15 years at American Capital, Ltd. in a variety of financial roles, most recently as Senior Vice President, Treasury. Michael is the Chief Financial Officer at Capital Southwest and is responsible for initiatives related to the refocus of its BDC activities. Mr. Sarner received a B.B.A. in Business Administration/Accounting from James Madison University, an M.B.A. in Finance from George Washington University’s School of Business and Public Management and is a Certified Public Accountant. Mr. Sarner now lives in Dallas with his wife and three sons.