From DoG Street to Wall Street 2014
Keynote: Thursday, September 25th 6:00pm
Brinkley Commons, Miller Hall
Panels: Friday, September 26th
8:45am – 3:30 pm Miller Hall
Friday Schedule:
8:45 – 10:15am
10:30 – 11:45am
Finance 101
Room 1088
12:00 – 1:15pm
Risk
Room 1088
Welcome
Investment
Banking
Roundtable
Brinkley Commons
Equity Analysis
Room 1082
Investments &
Private Equity
Room 1082
1:15 – 2:15pm
Lunch & Awards
Brinkley Commons
2:15 – 3:00 pm
Networking
Brinkley Commons
2:30 – 3:30 pm
Career Success
Early
Room 1078
Private Banking
Room 1078
Sales & Trading
Room 1066
Women in Business
Forum
CCE Suite
Room 2001
Keynote Speaker:
Devin Murphy ‘82
Phillips Edison & Co.
Devin I. Murphy is a Principal and Chief Financial Officer of Phillips Edison & Company, as well as a
member of the Company’s Advisory Board. He manages relationships with capital providers and directs
all financial and internal control activities, including planning and reporting, fundraising, investor
relations, accounting and risk management. Mr. Murphy has been active in the real estate industry for 28
years, including executive leadership positions with Morgan Stanley and Deutsche Bank Securities, Inc.
Prior to joining Phillips Edison, Mr. Murphy was Vice Chairman of Investment Banking at Morgan
Stanley. He began his real estate career in 1986 as an associate in the real estate group at Morgan Stanley.
He subsequently held a number of senior positions at Morgan Stanley. He was Co-Head of U.S. Real
Estate Investment Banking and Head of the Private Capital Markets group (PCM), which raised more
than $5 billion of equity capital under his leadership. He also served for 10 years on the Investment
Committee of the Morgan Stanley Real Estate Funds, which invested over $6.5 billion of equity capital
globally during his tenure. In 2004, Mr. Murphy joined Deutsche Bank Securities, Inc., as Global Head of
Real Estate Investment Banking. He led a team of more than 100 professionals in eight offices in the U.S.,
Europe and Asia. Under his management, the DB team executed more than 500 separate transactions on
behalf of clients representing total transaction volume exceeding $400 billion. Prior to rejoining Morgan
Stanley in 2009, Mr. Murphy became a Managing Partner of Coventry Real Estate Advisors, a real estate
private equity firm that sponsors a series of institutional investment funds that acquire and develop retail
properties. Mr. Murphy is an Advisory Director of Hawkeye Partners, a real estate private equity firm
headquartered in Austin, Texas, and Trigate Capital, a real estate private equity firm headquartered in
Dallas. He is a member of the Urban Land Institute, the Pension Real Estate Association and the National
Association of Real Estate Investment Trusts. He received a BA with Honors from The College of
William & Mary and an MBA from the University of Michigan.
Panelists:
Karim Ahamed ‘79
HPM Partners
Karim Ahamed is a Chicago-based partner and senior investment advisor with HPM Partners LLC, a
leading independent investment advisory firm. Prior to HPM Partners, he was a managing director and
senior investment specialist with J.P. Morgan Private Banking in Chicago, where he ranked among the
nation's top investment advisers. Mr. Ahamed has also held senior investment and wealth management
positions with the private banking groups of UBS AG and Coutts & Co, both in the United Kingdom. Mr.
Ahamed received his bachelor's degree from The College of William & Mary, followed by his Master of
Management degree from the Kellogg School of Management at Northwestern University. He is also a
CFA charter holder. Mr. Ahamed currently serves on the boards and professional advisory committees of
various nonprofit organizations focused on arts, culture, education and economic development. Besides
his participation in the DoG St to Wall St program, Mr. Ahamed is a regular presenter at the Mason
School and currently serves on the 2014 reunion gift committee for his graduating class.
David M. Braun ‘87
Capstone Strategic, Inc.
David Braun is the CEO of Capstone Strategic, Inc., which he founded in 1995 to meet the unique
demands of mid-market companies and their corporate growth initiatives. The firm’s clients include
Fortune 500 and multinational companies as well as small and family-owned businesses. Mr. Braun has
over 25 years of experience formulating growth strategies in a wide range of manufacturing and service
industries. He is the author of Successful Acquisitions: A Proven Plan for Growth and founder of the blog
www.SuccessfulAcquisitions.net. As an M&A expert he has published numerous articles and has been
featured in various media outlets including Fox Business News, CBS MoneyWatch, the Financial Times,
and CNN Money. Mr. Braun regularly speaks for the American Management Association and presents his
highly regarded seminars at national and regional events. Mr. Braun received his BBA from The College
of William & Mary, where he met his wife, Karen ’87. Their daughter, Krista, is a junior at W&M
majoring in chemistry.
Jess McAnneny Burt ‘02
BlackRock
Jessica K. Burt, Director, is a member of BlackRock’s Platform and Integration team responsible for
strategic conformance and adoption of U.S. Regulations, for example Central Clearing of Derivatives.
Conformance and adoption requires building systems and implementing the changes across the full
investment cycle from portfolio strategy, trade execution, to all downstream operational flows.
Additionally, Ms. Burt owns the development and relationship with BlackRock’s Legal & Compliance
team. Earlier, Ms. Burt spearheaded the firm’s initiative to automate the New Issue process for corporate
debt including handling ERISA compliance on New Issues. Prior to joining BlackRock in 2005, Ms. Burt
spent two years in the Analytics department of Bloomberg, LP where she focused on CDS and MBS
product builds and client training. Ms. Burt earned a BBA in Finance from The College of William &
Mary with a minor in Government.
Mark Colm
RW Baird
Mark Colm is a Managing Director and Co-Head of High Yield Sales at RW Baird. In this role, Mr. Colm
represents institutional clients including Mutual Funds, Insurance Companies, Money Managers, and
Hedge Funds. He provides them with market color, generates and pitches trade ideas, and advocates their
interests on the trading floor. Additionally, Mr. Colm manages his team of 23 salespeople in the
Institutional High Yield division of RW Baird’s Fixed Income Capital Markets. Prior to this role, he spent
three years at Gleacher & Company as a Managing Director of High Yield Sales, Five years at Deutsche
Bank as a Managing Director and Co-Head of High Yield Sales, 10 years at Merrill Lynch in High Yield
Sales, and two years at Paine Webber in High Yield Sales. Prior to working in Finance, Mr. Colm worked
as an attorney and ultimately a partner at Fortson and White in Atlanta, Georgia practicing Commercial
and Corporate Litigation. He graduated with a Bachelor of Arts and Sciences degree from the University
of Pennsylvania in 1982 and from Emory Law School in 1985.
Michael W. Cummings ‘93
Wells Fargo
Michael Cummings is the Head of Wholesale Operational Risk & Compliance at Wells Fargo Bank, N.A.
He has been with Wells Fargo or a predecessor for over twenty years. Mr. Cummings started his career in
Investment Banking and then from 1997 to 2005 founded and managed Equity Capital Markets. In 2005,
Mr. Cummings became Chief Operating Officer of the Equity Division where his responsibilities
included helping establish and execute the company’s strategies for the cash, convertible, derivatives,
structured products, capital markets and proprietary trading businesses. He also focused on expanding the
strategic partnership between Wells Fargo Securities and Wells Fargo Advisors, the company’s Retail
Brokerage division. From 2009 to 2012, Mr. Cummings developed the Corporate Access business, which
focuses on connecting corporate and institutional customers around the world to exchange intellectual
capital and enhance their respective businesses. For the last decade, Mr. Cummings has served as
Chairman of the Equity, Convertible, Closed End Fund and Capital Allocation Commitment Committees
for Wells Fargo Securities. In May 2012, he was appointed Chairman of the Fixed Income Commitment
Committee as well. In 2013, he took on the additional responsibility of developing the company’s
Business Risk Management Group. This new initiative focused on analyzing businesses within the
Wholesale Group that utilize significant credit capital, employ complex models, are operationally intense
and/or face heightened regulatory scrutiny. In February 2014, Mr. Cummings accepted the position as
Head of Wholesale Operational Risk & Compliance. Because of the increased scale of the Wholesale
businesses, heightened regulatory expectations and Wells Fargo & Company’s desire to be the undisputed
leader in risk management, the Wholesale Group has embarked on a program to design and execute an
industry-leading Operational Risk and Compliance program, led by Mr. Cummings. Mr. Cummings
graduated Magna Cum Laude from The College of William & Mary. He received a #1 ranking from the
school’s business school, where he graduated with a BBA in finance. Mr. Cummings is also a Trustee
Emeritus for The College of William & Mary Foundation. He holds Series 7, 63, 24, 53 and 79 licenses.
Alice Davison P‘16
The Capital Group
Alice Davison is a talent acquisition senior manager at Capital Group in New York , where she focuses on
global investment group recruiting. She is a Vice President of Capital’s Global Business Services group.
Ms. Davison has 27 years of industry experience, all with Capital Group. Earlier in her career at Capital,
she worked as manager of The Associates Program (TAP), a two-year series of work assignments in
various areas of the organization. She was also a TAP participant. Ms. Davison holds an MBA with
distinction from the Stern School of Business at New York University and a bachelor’s degree in
economics from Bowdoin College. She is Director of Forte Foundation and an active volunteer for NJ
SEEDS, Grameen Foundation, and W&M’s Parent and Family Council.
Darren Dixon ‘08
Goldman Sachs
Darren Dixon is a Vice President in the Latin America Structured Credit Trading group at Goldman
Sachs. Mr. Dixon started out in the Principal Funding and Investments U.S. business of Goldman for 4.5
years before transitioning to focus on investing in Latin America in 2013. In his role, he focuses on
committing Goldman Sach's balance sheet to provide clients with alternative financing solutions for their
businesses. A few examples of the types of assets he has managed and financed are major toll roads, film
libraries, television shows, physical gold, and cellphone towers. Mr. Dixon participated in a summer
internship with GS in 2007, graduated The College of William & Mary with a BBA in finance, and has
been with GS full time since then.
Dan Draper ‘91
Invesco Power Shares
Dan Draper is the Managing Director of Global ETFs and heads Invesco PowerShares, one of the world's
largest ETF providers with $105 billion in assets under management. He has over two decades of diverse
financial services experiences, including nearly a decade of leadership positions in the ETF industry. Prior
to joining Invesco PowerShares, he was the Global Head of ETFs at Credit Suisse Asset Management and
Lyxor Asset Management/Societe Generale. Mr. Draper was also Director of Business Development for
UK and Ireland at iShares/Barclays Global Investors. Earlier in his career, he held various investment
banking and private banking positions at UBS, Goldman Sachs and Salomon Brothers in the US, Europe
and Asia. Mr. Draper received his MBA from the Kenan-Flagler Business School at the University of
North Carolina at Chapel Hill and his BA from The College of William & Mary. He holds the Chartered
Financial Analyst, Chartered Market Technician, Chartered Alternative Investment Analyst, Financial
Risk Manager, Chartered Financial Consultant and Certified Financial Planner designations.
Phil Evans ‘84
BlackRock
Phil Evans is a Managing Director and serves as head of BlackRock’s Global Provider Strategy (GPS)
group, which develops and executes the firm’s operating strategy for partnering with third party
institutional companies in the post trade space. He serves on the firm’s Corporate and Business
Operations Leadership Committee. Mr. Evans joined BlackRock in 2010 after sixteen years at BNY
Mellon. From 1994 to 2001 he served as Country Manager for Italy, Greece, and Italian speaking
Switzerland, based in Milan. From 2001 to 2010 he was Managing Director within the Investment
Management and Insurance Group, responsible for developing strategy around the bank’s most complex
institutional client relationships. Previously, Mr. Evans worked for Bank of America and CoreStates
Financial as an international lender working closely with multi-national firms. He holds a bachelor’s
degree in economics from The College of William & Mary and an MBA from the Fuqua School of
Business at Duke University.
Jen Gasior ‘06
J.P. Morgan
Jennifer Gasior, CFA, is an Investment Specialist at the J.P. Morgan Private Bank in New York. In this
role, Ms. Gasior assists private clients in the design and implementation of investment portfolios and
provides them with advice across asset classes and global markets. Additionally, Jen manages her team’s
eleven analysts, who provide support on banking, investment, credit and estate planning matters. Prior to
this role, she spent over three years as an equity specialist at the J.P. Morgan Private Bank in New York.
In this role, she advised clients with single stock concentrations on hedging, divestiture and monetization
strategies with positions ranging from $2 million to over $100 million in size. She also worked with
executives of public companies on transactions in company stock and stock options through the use of
over-the-counter derivatives as well as 10b5-1 trading programs. Ms. Gasior holds a BBA from The
College of William & Mary, where she graduated Summa Cum Laude. She is a CFA Charter Holder, and
has attained Series 7 and Series 63 licenses from the National Association of Securities Dealers.
Becca Gildea ‘12
EY Financial Advisory
Becca Gildea, CPA, is a Senior Financial Risk Advisor in Ernst & Young’s Financial Services Office.
Based out of New York, she has participated in the Business Advisor Program since earning her BBA
from The College of William & Mary in 2012 with a major in accounting and a concentration in finance.
During her initial year and a half at EY, she worked in the Structured Finance practice with CMBS
transactions. Most recently, Ms. Gildea has joined the Treasury and Liquidity Risk Advisory practice and
is helping clients to comply with Basel III liquidity standards. Specifically, she is working on a project to
assess whether the client has sufficient high quality liquid assets to cover their net cash outflows over a 30
day stress period and to develop their capabilities to furnish related reporting.
Will Glass ‘07
Perella Weinberg Partners
Will Glass is a Director at Perella Weinberg Partners where he focuses on healthcare and previously spent
time as an M&A and restructuring generalist. Prior to joining PWP, Mr. Glass worked in AIG’s Financial
Services Division and Bear Stearns’ TMT group. As one of sixteen finalists in both the 2012 and 2013
Financial Modeling World Championships, Mr. Glass was described as “arguably the most consistent and
robust Financial Modeler in the world.” Mr. Glass has advised on over $70 billion in M&A and
restructuring transactions including: Medtronic’s $42.9 billion acquisition of Covidien; Hologic’s $3.7
billion acquisition of Gen-Probe; Sealy’s $1.3 billion sale to Tempur-Pedic; General Maritime’s $1.4
billion restructuring; Massey Energy’s $8.5 billion sale to Alpha Natural Resources; and Prudential
Financial’s $4.8 billion acquisition of AIG Star and AIG Edison. He has also advised on many special
situations including Lionsgate’s evaluation of Carl Icahn’s unsolicited tender offer. He graduated Summa
Cum Laude from The College of William & Mary with a bachelor’s degree in international relations and
finance.
Nicole Guarella ‘05
BB&T Capital Markets
Nicole Guarella is a Vice President in the Commercial & Industrial Group at BB&T Capital Markets in
Richmond and the Director of Operations for BB&T Capital Markets' Investment Banking Group. During
her career, Ms. Guarella has provided sell-side Mergers & Acquisitions transaction advice in addition to
capital raising services to private equity groups and their portfolio companies, private companies, and
public companies. She graduated in 2005 from The College of William & Mary, and was one of the
founding members of the Howard J. Busbee Finance Academy.
Rick Hartmann ‘08
Gen Re
Rick Hartmann III is an Assistant Vice President in the Global Property Facultative department at Gen
Re, a Berkshire Hathaway subsidiary, based in Philadelphia, PA. During his tenure with Gen Re, Mr.
Hartmann has aided in the structuring of facultative and treaty programs solutions, while providing direct
underwriting expertise on individual risks to his clients. He routinely speaks on various reinsurance topics
and has delivered ‘State of the Market’ presentations to customers, CPCU society organizations and other
trade groups. He is a member of the Young Insurance Professional Group, a mentor to incoming
underwriting trainees and an active member of the reinsurance community in the Mid-Atlantic. Mr.
Hartmann holds a bachelor degree in government from The College of William & Mary and is currently
pursuing his CPCU and Associates in Reinsurance designations.
Andrew Horrocks ‘87
Credit Suisse
Andrew W. Horrocks is a Managing Director of Credit Suisse in the Investment Banking Department,
based in New York. He is Global Head of Transportation and Autos. He served as a member of the firm’s
Investment Banking Committee. Mr. Horrocks has acted as a financial advisor to companies and
governments in connection with mergers, acquisitions, investments, divestitures, spin-offs and
restructurings, as well as a lead financier in connection with multiple variations of global equity and debt
offerings. His clients have included American Airlines, the Federal and Provincial Governments of
Canada, Chrysler, CNH Global, CSX, the Emirate of Dubai, Fiat, Ford, General Motors, Rockwell,
Seaspan, Sumitomo Electric, Teekay, Textron and UPS, among others. Mr. Horrocks joined Credit Suisse
in 2010 from Moelis & Co, where he was a Managing Director. Prior to joining Moelis, he was a
Managing Director and Head of Capital Goods & Transportation Americas at UBS. Mr. Horrocks
received a BBA from The College of William & Mary in 1987, and an MBA from Cornell University in
1992.
Ben Israel ‘10
Apollo Global Management
Ben Israel joined Apollo in 2012 from Goldman Sachs, where he was member of the Real Estate
Investment Banking Group. While at Goldman Sachs, Mr. Israel was involved in various advisory
assignments and financings including commercial mortgage loans, both secured and unsecured corporate
debt and public equity raises. Since joining Apollo, Mr. Israel has been involved in the structuring,
underwriting and execution of over $2.0 billion of commercial real estate debt originations and
acquisitions. Mr. Israel graduated cum laude from The College of William & Mary, where he received a
bachelor’s degree in economics and finance.
Klaudia Kasztelaniec ‘09
McKinsey & Co. / Stanford University MBA
Klaudia Kasztelaniec is currently a second year MBA student at Stanford Graduate School of Business.
Prior to enrolling in business school, she spent two and a half years at McKinsey & Company. In her
role, she advised large private and public companies on issues ranging from strategy to marketing to
operations. She worked across 10 industries but specialized in retail. She did her summer MBA
internship at eBay. Ms. Kasztelaniec is a 2009 graduate of The College of William & Mary, where she
earned a BA Summa Cum Laude with majors in Economics and Finance, and was a member of the
varsity tennis team.
A. Eric Kauders, Jr. ‘91
U.S. Trust
Eric Kauders is Managing Director and the Trust Executive for the Mid-Atlantic Region of U.S. Trust,
Bank of America Private Wealth Management, where he is responsible for leading a broad team of
professional to deliver fiduciary and wealth structuring advice and services to high net worth individuals
and families. Mr. Kauders joined Bank of America in 2000 as Assistant General Counsel, where he
provided fiduciary and risk management legal advice to Bank of America’s Private Bank across the MidAtlantic and Northeast regions. In 2005 he became a Trust Team Leader for the Virginia Market, was
promoted to Market Trust Executive for Virginia, and has held his current position since 2009. Before
joining the company Mr. Kauders was an attorney for McGuireWoods law firm. He graduated with High
Honors from The College of William & Mary with a bachelor’s degree in public policy and government,
after which he earned a law degree from University of Virginia’s School of Law. Mr. Kauders is a
member of the board for several organizations including Swem Library at The College of William &
Mary.
Ben Kjome ‘99
Centerview Partners
Ben Kjome joined Centerview Partners in 2008 from Lehman Brothers’ M&A Group. At Centerview, Mr.
Kjome has advised media, information, retail, consumer, industrial and technology companies. His
experience at the firm includes cross-border, bankruptcy, buy-side, sell-side, takeover defense and
divestiture situations. Selected transactions include CBS Outdoor’s acquisition of Van Wagner, Fifth &
Pacific’s divestitures of its Lucky Brand Dungarees and Juicy Couture divisions, Convergys
Corporation’s divestiture of its IM Division to NEC, United Rentals’ acquisition of RSC Holdings, the
sale of Jo-Ann Stores to Leonard Green Partners, Avon Products’ divestiture of its Silpada Division and
DTS’s acquisition of SRS Labs. While at Lehman Brothers, Mr. Kjome’s transaction experience included
companies in the packaged food, restaurant, tobacco, sporting goods, consumer durable, publishing and
technology sectors. Select transactions include Jarden Corporation’s acquisition of K2 Inc., Reynolds
American joint venture dissolution with Japan Tobacco, Lehman Brothers’ Merchant Bank acquisition of
an equity position in SRAM Corporation and Domino’s Pizza Whole Business Securitization. Mr. Kjome
holds a BBA from The College of William & Mary and an MBA from The Stern School of Business at
New York University.
John Leone ‘91
Stevens Capital
John Leone is primarily responsible for Stevens Capital Management’s direct access to global exchanges,
equity finance, and management of counterparty relationships. Mr. Leone has twenty years’ experience in
global trading and has spent his entire career with either Stevens Capital or its associated companies and
predecessors, Trout Trading and Tewksbury Capital Management Ltd. In prior positions with Tewksbury
and Trout Trading, Mr. Leone traded energy products and foreign exchange. Mr. Leone holds a
bachelor’s degree in economics from The College of William & Mary, is a CFA Charterholder and a
member of the Institutional Traders Advisory Committee at the New York Stock Exchange.
Bobby Loftus ‘82
The Altus Group
Robert E. Loftus is the Managing Partner of The Altus Group Private Office, a bespoke wealth advisory
firm based in New York City. A 28 year veteran of Wall Street, his practice assists High and Ultra High
Net Worth clients and institutions in managing their wealth and capital. The firm provides solutions to the
various needs and mandates of clients that are tailored to their specific situation; whether it be investment
management, hedging and monetization, or trading execution related. The Altus Group brings a collective
50 years of Wall Street acumen and experience to bear in serving its clients’ needs while pursuing “First
Class Business in a First Class Way.”
Chris Maher ‘79
EY Financial Advisory
Chris Maher is a principal within the Risk Advisory Services group of Ernst & Young's New York
Financial Services Office. He has more than 30 years of relevant industry experience advising financial
services firms including asset management firms, banking organizations, investment banks, brokerdealers and insurance companies. He specializes in risk management and regulatory advisory services.
Recently, his primary area of focus has been advising clients regarding the Dodd-Frank Wall Street
Reform and Consumer Protection Act. Mr. Maher also provides on-call advisory services to address
regulatory issues in connection with mergers and acquisitions, securitizations, derivative transactions, taxbased structures, and in general consultations. He is a member of EY's Financial Services Office
Corporate Social Responsibility Committee. Mr. Maher joined Ernst & Young in 1993 after 13 years at
the Federal Reserve, where he left as a team leader in examinations. At the Federal Reserve, he managed
examinations of bank holding companies and international banking organizations. He headed the New
York Fed’s field reviews of BNL and BCCI. Mr. Maher was also involved in a number of initiatives for
the Board of Governors of the Federal Reserve System to enhance examiner training and to develop the
U.S. Foreign Banking Organization (FBO) program. He served as an advisor on bank supervision for the
International Monetary Fund on a technical assistance mission to the State Central Bank of Turkmenistan.
Mr. Maher earned his BBA in Accounting from The College of William & Mary.
Ed McGann ‘82
Bank of New York Mellon
Ed McGann is responsible for the Currency Administration business within BNY Mellon’s Global
Markets. This division provides products and services to assist clients with the administration of their
currency hedging program and other Foreign Exchange requirements. Mr. McGann and his team develop
and execute on the strategic business and product plan for the Currency Administration. Prior to joining
Global Markets, Mr. McGann was the Head of Product Management for Global Financial Institutions and
International Markets where he was responsible for ensuring that the suite of products and services
offered met all of the clients’ needs and developing future offerings for the asset servicing marketplace.
Prior to The Bank of New York Company, Inc. and Mellon Financial Corporation, he was the head of
U.S. Financial Institutions Relationship Management Division. He also worked for The Chase Manhattan
Bank’s Global Investor Services and the U.S. Trust Company of New York. Mr. McGann received a BA
in economics from The College of William & Mary and an MBA in finance from New York University.
Bill Melrose ‘79
State Street Global Markets
Bill Melrose is the Managing Director of eExchange Sales for State Street in Boston, Massachusetts. He
joined the firm in 2011. Previously, Mr. Melrose worked in Derivatives Trading with PNC, where he
spent almost 10 years, and U.S. Government Sales with Lehman Brothers, where he spent seven years.
Mr. Melrose earned his BBA in accounting from The College of William & Mary and his Masters of
Public Management from Carnegie Mellon University.
Adam Mustafa
Invictus Consulting Group
Adam Mustafa is a co-founder of Invictus Consulting Group and has been providing stress testing and
capital adequacy advisory services to banks, regulators, bank investors, and bank D&O insurers since the
beginning of the financial crisis. Mr. Mustafa has overseen the design and implementation of fullycustomized capital stress testing, capital management, and strategic planning systems for community
banks ranging from under $100M in assets to Dodd-Frank banks that have in excess of $10B in assets.
Within the community banking space, he has advised acquisitive and high growth banks, banks under
enforcement action and significant regulatory pressures, and de novo banks. He has also been a featured
speaker on stress testing for community banks at a number of conferences, including those hosted by
regulators. Prior to joining Invictus, he had senior-level experience as a banker, financial services
consultant and corporate CFO. He has a BA from Syracuse University and an MBA from Georgetown
University.
Laura Nolan ’06
Stephens Inc.
Laura Nolan is Vice President, Consumer Group in the New York office of Stephens Inc. Ms. Nolan has
extensive experience advising Consumer and Retail companies on strategic and financing options. Prior to
joining Stephens in May 2012, Ms. Nolan was part of the Mergers & Acquisitions Group at HSBC
Securities in New York and was focused on corporate finance and transactional advisory services for
companies in the Consumer Food, Consumer Products, Retail and Apparel sectors. During her time at
HSBC, Ms. Nolan also worked in the Global Consumer Group based out of London. Ms. Nolan graduated
cum laude from The College of William & Mary’s Mason School of Business undergraduate Finance
program.
John Ribble ‘12
BB&T Capital Markets
John Ribble joined BB&T Capital Markets in 2012. He has worked on over two dozen sell-side M&A
and equity capital raise transactions since joining the firm. Prior to joining the firm, Mr. Ribble served as
a summer analyst at Algonquin Advisors in Greenwich, CT. In August 2015 he will join The Riverside
Company in their New York City office. Mr. Ribble received his BBA in finance and entrepreneurship
from The Mason School of Business at The College of William & Mary where he was also a scholarship
member of the varsity football team.
Philip Roane ‘06
Centerview Partners
Philip Roane is an Associate at Centerview Partners in New York. Previously, he held roles in private
equity and investment banking. He received a BA from The College of William & Mary, where he was
one of the founding officers of the Howard J. Busbee Finance Academy, and an MBA from Harvard
Business School.
Colin Ruh ‘89, MBA ‘94
Capital One
Colin Ruh is Senior Vice President & Chief Financial Officer for Line of Business Finance and has been
with Capital One since 1994. He has seven years’ experience leading marketing initiatives within the
credit card business; two years as business line CFO for Diversified Lending businesses: Small Business,
Canada, Credit Recovery Services (CRS) and Card Partnerships; three years managing Corporate
Planning for COF including leading the corporate planning process, managing the corporate P&L, and
leading funds transfer pricing and cost allocations; two years as the CFO of Capital One's Auto and Home
Loan businesses. Presently, Mr. Ruh serves as the CFO for Capital One's Line of Businesses with
responsibility for: Card, Auto, Home Loans, Commercial and Retail and Direct Banking. Colin also
serves as the executive sponsor for the Global Finance Manager Leadership Program. A native of
Virginia, Colin earned a BA in economics and government and a MBA from The College of William &
Mary. He is married with three children and currently resides in Richmond, Virginia.
Mario Shaffer ‘84
Capitala Investment Advisors
Mario Shaffer is a director of Capitala Investment Advisors and has served the legacy funds since 2013.
Most recently, he was with Alliance Partners LLC, a private asset manager and commercial lender backed
by BlackRock and BlueMountain Capital. He oversaw the origination of leveraged finance transactions
directly through financial sponsors and intermediaries. Prior to Alliance Partners, Mr. Shaffer was with
Barclays Washington, DC office where he was responsible for delivering the company’s investment and
commercial banking platform to the middle market. Prior to Barclays, he was with FBR & Co. where he
headed the financial sponsors group which managed the firm’s private equity clients. In addition, he
managed FBR Technology Venture Partners a venture fund with $210 million of committed capital.
Before joining FBR, Mr. Shaffer was an executive-in-residence at New Enterprise Associates, a leading
venture capital firm. Prior to NEA, Mr. Shaffer was a member of senior management at VerticalNet, Inc.
where he oversaw business development and international. In addition, he was CEO of VerticalNet
Europe, headquartered in London. Prior to VerticalNet, he was a director of marketing and business
development at AOL, Inc. He was responsible for subscriber growth, third-party marketing programs,
technology partnerships and several notable product launches. Mr. Shaffer is a graduate of The College of
William & Mary.
Philip H. Sharkey ‘92
Citi Bank
Philip Sharkey is Head of Investments for the Ultra High Net Worth New York Region and the Head of
Investment for the Law Firm Group and High Net Worth businesses, where he and his team are
responsible for leading the delivery of investment solutions to clients. Mr. Sharkey also holds the role of
Head of Investment Advisory Services, where he works with colleagues within the Private Bank to offer
advice to clients interested in comprehensive asset allocation and portfolio implementation and risk
management. Prior to joining Citi Bank in 2010, Mr. Sharkey was Head of the U.S. Portfolio
Management Group for Guggenheim Investment Advisors. Over his more than two decades in the
financial services industry, he has worked in fundamental fixed-income research, debt capital markets and
fixed-income trading, as well as wealth management and portfolio management. Mr. Sharkey graduated
from The College of William & Mary with a bachelor’s degree in economics and holds a Chartered
Financial Analyst designation. He is a member of the CFA Institute and the New York Society of
Security Analysts.
Greg Shenkman ‘03
Shenkman Capital
Greg Shenkman is a leveraged loan trader for Shenkman Capital in New York City. Founded over 29
years ago, Shenkman Capital Management is a leading institutional money manager specializing in
leveraged companies. Shenkman Capital has office in New York, NY; Stamford, CT; and London,
England. Mr. Shenkman has worked there since graduating from The College of William & Mary in 2003
with a BBA in finance. His first two years were in the Research Department as a junior credit analyst
before becoming a high yield bond trader. Since 2012, he has been the firm's dedicated leverage loan
trader. Mr. Shenkman served on the Business Partners Board for the Undergraduate Business Program of
The Mason School of Business at The College of William & Mary from 2007 until 2012. He currently
lives in Manhattan with his wife Rebecca.
David Shoulders ‘04
Matrix Capital Markets
David Shoulders has eight years of financial and merger & acquisition advisory experience and has
managed a variety of transactions with privately-held, middle-market companies since joining Matrix in
2006. These transactions primarily include sell-side strategic advisory assignments and private
placements of debt and equity. Prior to joining Matrix, Mr. Shoulders worked as an Analyst for Legg
Mason’s Aerospace, Defense & Government Services Investment Banking practice (later Stifel Nicolaus)
in Baltimore, Maryland where his experience included a variety of mergers, acquisitions, and public
offerings. Mr. Shoulders graduated from The College of William & Mary where he received a BBA in
finance with a concentration in accounting. He is also qualified as a FINRA General Securities
Representative (Series 7), Uniform Securities Agent (Series 63) and Investment Banking Representative
(Series 79). He and his wife Liz have two children.
Corey Shull ‘06
T. Rowe Price
Corey Shull, CFA, is a vice president of T. Rowe Price Group, Inc., and T. Rowe Price Associates, Inc.
He is a research analyst in the Equity Division of T. Rowe Price, covering media and telecommunications
companies. Mr. Shull is a vice president and a member of the Investment Advisory Committee of the
Media & Telecommunications and New Horizons Funds. Prior to joining the firm in 2006, he was
employed as a student assistant by The College of William & Mary in the Department of Government. He
also interned at the U.S. Department of State, Office of United Nations Political Affairs, and Bureau of
International Organization Affairs. Mr. Shull has worked internationally as a research assistant for several
projects, including Green Aid - Project Level Aid and Monroe Scholars Field Research Projects. He
graduated summa cum laude with a bachelor’s degree in economics and government from The College of
William & Mary, where he was a Monroe Scholar. He has earned the Chartered Financial Analyst
designation.
Mike Sola ‘91
T. Rowe Price
Mike Sola is a vice president of T. Rowe Price Group, Inc., and T. Rowe Price Associates, Inc. He is also
a portfolio manager in the U. S. Equity Division specializing in small-cap technology stocks. Mr. Sola
serves as vice president and Investment Advisory Committee member of the Science & Technology Fund,
Global Technology Fund, Small Cap Stock Fund, and New Horizons Fund. Prior to joining the firm in
1995, he was a systems analyst/programmer at SRA Corporation. Mr. Sola earned a BS in physics and
economics from The College of William & Mary and an MBA in finance and accounting from the
University of Chicago. He has also earned the Chartered Financial Analyst accreditation.
Richard P. Stanley ‘82
Bank of New York Mellon
Rick Stanley is an Executive Vice President Head of the U.S. Region of BNY Mellon’s Corporate Trust
Business and a member of BNY Mellon’s Operating Committee. Mr. Stanley has over 30 years’
experience in the financial services industry, beginning his career as a management trainee in the
corporate lending program at Irving Trust Company. He joined the Surface Transportation Division and
was eventually promoted to Vice President and Head of Marine Transport, a specialized project lending
activity in 1986. In 1991, he was appointed District Manager of Western Nassau and Queens in the Retail
Sector and was involved in the Barclays Bank acquisition in 1992. He was promoted to Division
President of Nassau/Queens in 1995. The following year, he was named to head the reorganized Small
Business Lending Division, which then combined to include the middle-market lending activity for
Nassau/Suffolk/Queens and Brooklyn. In 1997, Mr. Stanley was promoted to Senior Vice President and
was transferred to New York City as Assistant to the Chairman and Chief Executive Officer. He was
assigned to special projects for the Chairman, including workout, specialized lending and select M&A
activities. In 1999, Mr. Stanley was appointed to head the Investor Relations Group for the Company.
Three years later, he was named head of the Global Product Management Division and oversaw the
strategic product development for the Investor Services Sector, one of The Bank of New York’s core
Businesses. Mr. Stanley was promoted to Executive Vice President in 2004, and his responsibilities
expanded the following year to include Global Accounting, Security Data Management and Training. In
2007, he was transferred to the Alternative Investment Services Division, heading the Product
Management Group after The Bank of New York Mellon merger. In 2010, he was appointed Head of the
Structured Finance Division in Corporate Trust. The following year, he was transferred to lead the newly
created Global Middle Office Group delivering the suite of Corporate Trust products worldwide. Mr.
Stanley earned his BBA from The College of William & Mary and his MBA from Columbia University’s
executive program.
Tiffany Thurber ‘10
Goldman Sachs
Tiffany Thurber is currently an Investment Banking Associate at Goldman Sachs in their Real Estate
Financing Group, which provides clients with necessary financing and advisory services to buy, sell and
develop land. Associates work closely with clients to assist in achieving their strategic and financial
objectives in addition to conducting valuation analyses and structuring transactions. Previously, Ms.
Thurber worked in the Real Estate Investment Banking Group at Barclays Capital. She graduated from
The College of William & Mary with a BBA in finance.
Brandon Wolfe ‘07
Cascabel Management
Brandon Wolfe works as an analyst for Cascabel Management, a long/short equities fund focused on
consumer and TMT investing, based in New York. Tiger Management is a seed investor in the fund, and
the fund's portfolio manager was an analyst at Tiger. Previously, Mr. Wolfe worked in technology
startups and was a math teacher with Teach for America. He graduated with a BA in History from The
College of William & Mary where he was a Phi Beta Kappa. Mr. Wolfe earned his JD/MBA from
Stanford Law School and Stanford Graduate School of Business.
Faculty Moderators:
Julie Agnew ‘91
Mason School of Business
Julie Agnew is an Associate Professor of Finance and Economics and serves as Director of the Boehly
Center for Excellence in Finance for the Mason School of Business. She is a TIAA-CREF Institute
Fellow, a former elected member of the Defined Contribution Plans Advisory Committee (DCPAC) for
the Virginia Retirement System, and a Research Associate for the Center for Retirement Research at
Boston College. Her research and consulting activities focus on behavioral finance and its relationship to
financial decisions made by individuals in their retirement plans. Dr. Agnew frequently presents her
research around the world and was invited to provide expert testimony to the U.S. Senate. She has
published in journals that include the American Economic Review, the Journal of Financial and
Quantitative Analysis, the Journal of Pension Economics and Finance and the Journal of Behavioral
Finance. Prior to pursuing her doctorate, she spent several years working in investment banking and
equity research. A former Fulbright Scholar to Singapore, Dr. Agnew earned a BA degree in Economics
(High Honors) with a minor in Mathematics from The College of William & Mary. She graduated
Magna Cum Laude and is a member of Phi Beta Kappa. She received a PhD in Finance from Boston
College in 2001.
Vladimir Atanasov
Mason School of Business
Vladimir Atanasov, PhD, Penn State University, teaches Fixed Income, Derivatives, Portfolio
Management, Corporate Finance, and Equity Markets classes. His research is primarily focused on
corporate governance and specifically on the effect of controlling blockholders on firm value. He is also
studying the effect of securities and corporate laws on the behavior of large investors and the relation
between certain legal statutes and capital market development. Other research projects that Professor
Atanasov works on include the dilution of entrepreneurs in VC-backed firms and the effect of lawsuits on
VC funding and deal flow. He has consulted U.S. start-up and medical device companies, and Eastern
European private equity funds, investment companies, and financial advisors on equity valuation, VC
litigation, private equity contracts, portfolio management, asset allocation, and development of
investment products.
Katherine Guthrie
Mason School of Business
Katherine Guthrie, Associate Professor of Finance, brings a wealth of research and teaching experience to
the Mason School of Business. She earned her PhD in Economics from the University of Michigan, and
received a dual BA in Economics and International Relations from UC Davis. Dr. Guthrie is an expert on
current issues in corporate governance and household finance. Her research has been published in top
peer-reviewed finance and accounting journals, including the Journal of Finance, the Journal of Corporate
Finance, Accounting Horizons, and the Critical Finance Review. Dr. Guthrie is one of the pillars of the
undergraduate finance program and has made noteworthy contributions in and out of the classroom to
promote undergraduate learning and career development. Most recently, she spearheaded efforts to
design and implement a Distinguished Finance track for undergraduate finance majors. She is the
recipient of several prestigious honors and awards, among them the Faculty Excellence Award, the Alfred
N. Page Undergraduate Teaching Award, and the Geary Faculty Fellowship.
James Haltiner
Mason School of Business
Jim Haltiner, DBA, University of Virginia, teaches core financial management classes in the Flex MBA
programs and investments/portfolio electives, and provides oversight of the MBA student managed equity
portfolio, "The Batten Fund" at The College of William & Mary. He also teaches equity markets and
portfolio management in the BBA program, as well as the BBA student managed investment fund course.
In 2004, he was named the Frank Batten Professor for Distinguished MBA Teaching. Professor Haltiner
is a former Director of the MBA Program and has consulted with or served as an expert witness for a
number of public and private organizations about financial valuation, financing, investors' opportunity
cost of capital, and in matters of utility rate regulation. He is currently a member of Riverside Health Care
System's Asset Management Committee and a former member of the state of Virginia's pension fund
Investment Advisory Committee.