Active Investment Company Alliance CEF / BDC / Interval Fund BootCamp and Roundtable.
Location: 35 East 21st Street, New York, NY 10010, US
Wifi Access “The Space at Flatiron” with no password.
If you need CE credits, please check-in with the registration desk to confirm session attendance and your CFP information
| Time | Event | Moderator | Panelist #1 | Panelist #2 | Panelist #3 | Panelist #4 |
|---|---|---|---|---|---|---|
| 7:50 AM to 8:15 AM | Registration & Breakfast | |||||
| 8:15 AM to 8:25 AM |
Welcome Remarks AICA Launch II |
John Cole Scott, CIO at CEF Advisors, Founder of CEFData.com & Executive Chairman @ AICA [Conference Interview] |
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| 8:25 AM to 9:15 AM |
PANEL #1: CFP CE Credit [Video] | [Transcript] |
Amy Charles, Managing Director CEF & ETF Research, Raymond James | Jamie Patturelli, The NYSE | Andy Hall, Managing Director New Listing @ NASDAQ |
Jerry Raio, Arbor Lane Advisors, Inc. [Conference Interview] |
|
| 9:15 AM to 9:50 AM |
PRESENTATION #1: CFP CE Credit [Deck] | [Video] | [Transcript] |
John Cole Scott, CIO at CEF Advisors, Founder of CEFData.com & Executive Chairman @ AICA [Conference Interview] |
Dan Silver, CEF/BDC Analyst @ AICA, PM @ Zoso Capital | |||
| 9:50 AM to 10:40 AM |
PANEL #2 CFP CE Credit [Video] | [Transcript] |
John Duggan, Vice President CEF & ETF Research @ Morgan Stanley | Bill Meyers, Sr. Managing Director @ Nuveen | Patrick Shaddow, Director Index Operations @ S-Network |
Chuck Jaffe, Host @ Moneylife [Conference Interview] |
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| 10:40 AM to 10:55 AM | Networking Break | |||||
| 10:55 AM to 11:45 AM |
PANEL #3 CFP CE Credit [Video] | [Transcript] |
John Cole Scott, CIO at CEF Advisors, Founder of CEFData.com & Executive Chairman @ AICA [Conference Interview] |
Greg Drose, Executive Director of Business Development at UMB Fund Services [Conference Interview] |
James Curry, AVP, Sr. Key Account Consultant, SS&C ALPS [Conference Interview] |
Vadim Avdeychik, Counsel @ Paul Hastings [Conference Interview] |
|
| 11:45 AM to 12:35 PM |
PANEL #4 CFP CE Credit [Video] | [Transcript] |
Vadim Avdeychik, Counsel @ Paul Hastings [Conference Interview] |
Ryan Cummins, Wildermuth Wealth | Zach Forman, SVP, Head of Investor Relations @ Griffin Capital | Christian Munafo, CIO@ SharesPost 100 Fund | |
| 12:35 PM to 1:25 PM | Networking Lunch | |||||
| 1:25 PM to 2:00 PM |
PRESENTATION #2: CFP CE Credit [Deck] | [Video] | [Transcript] |
Rob Chisholm, Managing Director & Portoflio Manager at Brookfield | ||||
| 2:00 PM to 2:50 PM |
PANEL #5 CFP CE Credit [Video] | [Transcript] |
Chuck Jaffe, Host @ Moneylife [Conference Interview] |
Marc Loughlin, Director CEF & ETF Trading Solutions @ WallachBeth |
Eric Boughton, Portfolio Manager, Chief Analyst at Matisse Capital [Conference Interview] |
Rob Shaker, Portfolio Manager @ Shaker Financial [Conference Interview] |
Philip GoldStein, Bull Dog Investors [Conference Interview] |
| 2:50 PM to 3:20 PM |
PRESENTATION #3: CFP CE Credit [Deck] | [Video] | [Transcript] |
Randy Watts, UIT Investing, a NASDAQ Company | ||||
| 3:20 PM to 3:40 PM | Networking Break | |||||
| 3:40 PM to 4:30 PM |
PANEL #6: CFP CE Credit [Video] | [Transcript] |
Dan Silver, CEF/BDC Analyst @ AICA, PM @ Zoso Capital | Barry Sloane, President, CEO & Founder Newtek Business Services | Tony Huang, Assistant Portfolio Manager @ Advent Capital | Kim Flynn, Managing Director of Alternative Investments @ XA Investments | David Sachs, Partner / Co-founder @ Ares |
| 4:30 PM to 5:20 PM |
PANEL #7: CFP CE Credit [Video] | [Transcript] |
Harry Pangas, Partner Dechert LLP [Conference Interview] |
Nick Marshi, The BDC Reporter [Conference Interview] |
Bryce Rowe, Managing Director BDC Research @ National Securities [Conference Interview] |
John Cole Scott, CIO at CEF Advisors, Founder of CEFData.com & Executive Chairman @ AICA [Conference Interview] |
Kelly Thompson, Founder & Editor @ Direct Lending Deals |
| 5:20 PM to 5:30 PM |
Closing Remarks, Thank You’s & Founding AICA Member Recognition [Video] |
John Cole Scott, CIO at CEF Advisors, Founder of CEFData.com & Executive Chairman @ AICA [Conference Interview] |
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| 5:30 PM to 7:30 PM | Networking Cocktail Reception |
Amy M. Charles
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).
Vadim Avdeychik is of counsel in the Investment Management practice of Paul Hastings and is based in the firm’s New York office. Mr. Avdeychik counsels mutual funds, closed-end funds, exchange-traded funds (ETFs), business development companies (BDCs), hedge funds, and their investment advisers. He routinely advises on the formation and operation of registered investment companies (including those implementing alternative investment strategies), alternative fund structures (including registered and unregistered master/feeder and fund-of-funds structures and BDCs), fund governance, regulatory issues involving public and private funds, and investment company status issues. Mr. Avdeychik has extensive experience assisting pre-IPO and public operating companies, specialty finance companies, investment banks, financial product sponsors, and other entities in determining their investment company status or the status of the products they sponsor, including the ability to qualify for exemptions from the Investment Company Act, in connection with securities offerings, financial product launches and other transactions. He also has transactional experience concerning funds and their advisers, including merger and acquisition transactions.
Chief Investment Officer, SP Investments Management
Janis serves as Adams Funds’ General Counsel, Corporate Secretary, and Chief Compliance Officer. In those roles, Janis oversees all legal and compliance matters for the Funds. She is a member of the Funds’ Management Committee.
Eric helped develop and is the portfolio manager for the Matisse Discounted Closed-End Fund Strategy, an alpha-generating global balanced approach available via separately managed accounts and our mutual fund (launched in 2012). The core investment thesis is that the narrowing of CEF discounts, driven by shifting investor sentiment in a highly inefficient market—along with excess income when buying deeply discounted CEFs—can generate sustained alpha for investors.
Robert Shaker, Chief Investment Strategist
BARRY SLOANE, PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER
Kimberly Flynn serves as Managing Director at XA Investments, a wholly-owned subsidiary of XMS Capital Partners. She is a partner in the firm and responsible for all product and business development activities. Kim created the alternative registered trust platform at XA Investments working in partnership with independent subadvisers representing best-in-class alternative investment managers. Previously, Kim was Senior Vice President and Head of Product Development for Nuveen Investments’ Global Structured Products Group. In her 11 years at Nuveen, she helped developed over 40 closed-end funds raising ~$13 billion in capital. In her leadership role at Nuveen, Kim was responsible for asset raising activities through the development of new traditional and alternative investment funds including CEFs, ETFs, UITs and commodity pools.
Harry S. Pangas, Partner, Dechert LLP
Bryce Rowe joined National Securities in July 2019 as a senior equity research analyst with a primary focus on the Business Development Company sector. Bryce has been an equity research analyst at several firms since March 2000. Most recently, he spent 13 years at Robert W. Baird & Co., covering small-cap banks and BDCs. Bryce has been recognized three times for his stock picking abilities in The Wall Street Journal’s Best On The Street Analyst Survey and by Thomson Reuters (Starmine). Bryce has a B.A. from the University of Virginia and is a Chartered Financial Analyst charterholder.
Kelly Thompson is the founder of Direct Lending Deals, a new publication catering to originators and investors in private credit. Thompson has covered capital markets for 20 years, her specialty being middle market finance. She has shared her views on industry panels, and her analysis has been featured across trade and mainstream media including Forbes and Seeking Alpha. Previously, she covered middle market for LevFin Insights and S&P LCD.
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.
Patrick is responsible for the development, production and maintenance of all S-Network indexes, including indexes that serve as the underlying for financial products holding over $8 billion in AuM. He is also responsible for the oversight of product-centered company IT. Patrick started at S-Network in 2007 and has engaged directly in every facet of the index business. He oversees development and production of domestic and international equity indexes as well as indexes that include 40-Act funds, futures and options.
Nicholas Marshi is a co-founder and Chief Investment Officer (CIO) of BDC Investment Advisors “(BDCIA’), a California Registered Investment Advisor. He is responsible for the firm’s investment management, and is the editor of the BDC Reporter and its sister publication, BDC Credit Reporter. The BDC Reporter is the premier subscription publication exclusively focused on “news, views and analysis” of the $100+ billion BDC sector. The BDC Credit Reporter – still in beta – provides timely and comprehensive coverage of all under-performing BDC portfolio companies, to provide readers with early notice of change in BDC values.
Marc Loughlin joined WallachBeth in late 2012 to launch a robust closed end fund execution platform, thus further enhancing the capabilities of WallachBeth’s ETF trading group, one of the leading ETF desks in the industry.
Mr. Huang serves as an Associate Portfolio Manager for Advent’s Global Balanced Convertible Strategy and Global Phoenix Strategy, as well as an Associate Portfolio Manager for Advent’s closed-end funds, working with our CIO, Tracy Maitland. Mr. Huang has also served as Research Analyst for the Technology sector since 2007. Prior to joining Advent in 2007, Mr. Huang was at Essex Investment Management in Boston where he headed the Technology sector research coverage and managed Essex’s diversified Research Fund. Mr. Huang also had Technology and Telecommunication research responsibilities at two hedge funds and Fidelity Investments, where he began his career. Mr. Huang is a graduate of the University of Pennsylvania’s Wharton School of Business.
Andy Hall, Managing Director, Nasdaq New Listings
SS&C is a global provider of investment and financial software-enabled services and software for the global financial services and healthcare industries. Some 18,000 financial services and healthcare organizations, from the world’s largest institutions to local firms, manage and account for their investments using SS&C’s products and services. visit 
James J. Curry
With a successful track record of over 15 years in the financial services industry, Randy Watts has spent much of his career in the UIT market — at both large and small sponsor firms, including Van Kampen Investments, Matrix Capital Group, Incapital, and Nuveen Investments.
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