Sadis GC, COO, CCO Attendee Book

Sadis GC, COO, CCO

Roundtable

Attendee Book June 18th, 2024

Matthew Bloom

VIKING GLOBAL INVESTORS

CCO & DEPUTY GENERAL COUNSEL

email

https://www.linkedin.com/in/matthew-bloom-4098954/

Matthew Bloom is Chief Compliance Officer and Deputy General Counsel – Regulatory and Litigation responsible for legal, regulatory, and compliance matters. Prior to joining Viking in 2013, Matthew was a Litigation Associate at Cravath, Swaine & Moore. He also served as a law clerk to the Hon. Joel M. Flaum of the United States Court of Appeals for the Seventh Circuit. Matthew received a J.D. from Yale Law School and B.A. in history from Yale College.

Yehuda Braunstein

SADIS & GOLDBERG LLP PARTNER

212.573.8029

ybraunstein@sadis.com

https://www.linkedin.com/in/yehuda-braunstein/

Yehuda M. Braunstein heads up the Family Office practice and is also a member of the firm’s Financial Services and Corporate groups. Yehuda counsels family office clients in connection with all aspects of their operations, including formation issues, governance and compensation issues, transactional and day to day matters as well as compliance issues.

Yehuda’s practice also focuses on investment funds, securities, joint ventures, regulatory compliance and investment advisers. He regularly structures and organizes hedge funds, private equity funds (including real estate, distressed and lending funds), funds of funds, separately managed accounts and hybrid funds. Additionally, he advises private fund managers on structure, compensation, employment and investor issues, and other matters relating to management companies. Yehuda also structures and negotiates seed investments and operating agreements. He provides ongoing advice to investment advisers on securities law issues, including SEC filings. His practice also involves counseling clients in SEC regulatory matters, including compliance issues related to registered advisers, as well as conducting mock audits.

Prior to joining Sadis & Goldberg, Yehuda was special counsel in the Investment Management group at Schulte Roth & Zabel where he represented numerous private investment managers and various types of investment funds and an associate at Debevoise & Plimpton where he primarily represented private equity funds and their investment advisers.

David Charnin

KING STREET

GENERAL COUNSEL

dcharnin@kingstreet.com

https://www.linkedin.com/in/david-charnin-34736/

A dynamic leader proven to build process and drive cost efficiency in legal and compliance groups including at a public company, a top 20 hedge fund, a top 40 private equity fund. A player-coach equally comfortable communicating the strategy, developing the team and negotiating and documenting a broad range of transactional and fund formation matters. Skilled in Distressed Debt, Special Situations, Securities, Private Equity and Hede Fund Formation, Litigation Management, Executive Compensation and Employment, Investment Fund Operations, Risk Management, Counterparty Finance (ISDA, subscription financing and other bespoke financings), and other financial instruments. A creative team builder with a successful track record of recruiting, developing and retaining high-quality talent with a specific, time-tested approach to the delivery of Legal and Compliance solutions.

Mike Errico

FUNDBANK

MANAGING DIRECTOR

merrico@fundbank.com

https://www.linkedin.com/in/michael-errico22b988156/

Mike Errico joined FundBank in 2024 as Managing Director, North America Relationships. An experienced banking and relationship management professional, Mike brings to this role over 30 years of experience in the banking industry. In this business development and relationship management role, Mike provides all banking, custody and trade execution services to alternative asset managers and their managed funds.

Prior to joining FundBank, Mike was Regional Vice President at Partnerize, where he focused on sales and business development of an enterprise SaaS performance marketing platform designed for retail clients. Previously, Mike was Relationship Manager at First Republic Bank where he was responsible for sourcing and delivering a full suite of comprehensive personal, business lending and deposit products through a service-focused, private banking experience. Within this role, Mike was responsible for delivering the offering to clients and prospects within the alternatives industry, including hedge funds and private equity firms. Earlier in his career,

Mike held senior sales and relationship management roles at JP Morgan where he was also a member of the Global Funds Group, focused on delivering the firm’s global capabilities to funds, funds of funds and fund administrators.

Michael holds a Master of Business Administration in Finance from Fordham University, New York and a Bachelor of Arts in Management from Gettysburg College, Gettysburg Pennsylvania.

Ezra Fireworker

EZF BALANCE

PRINCIPAL | CFO | ADVISORY SERVICES

ezra@ezfbalance.com https://www.linkedin.com/in/ezrafireworker/

At EZF Balance, we provide part-time CFO & advisory services to enhance cash flow, drive profitability, and support prudent acquisitions. We specialize in B2B, B2C Businesses, and RE Financial Modeling & Operations.

We excel at achieving business objectives and reducing the CFO workload, while providing accurate insights that lead to profitability.

If you're looking for help with alleviating the burden for quality CFO workload in operations, or property and business acquisitions, or just need an experienced team at your side to analyze and make sense out of the numbers when it counts most, we are here to support you.

David Fitzgerald

SADIS & GOLDBERG, LLP

PARTNER

212.573.8428

dfitzgerald@sadis.com

https://www.linkedin.com/in/david-fitzgerald-408ab8 55/

David Fitzgerald is a Partner in the firm’s Financial Services and Corporate Groups. David’s practice focuses on investment funds, securities, joint ventures, regulatory compliance and investment advisers. He regularly structures and organizes hedge funds, private equity funds, funds of funds, separately managed accounts and hybrid funds. Additionally, he advises private fund managers on structure, compensation, employment and investor issues, and other matters relating to management companies.

Drawing on his 16 years of experience as an institutional Chief Compliance Officer and General Counsel, David provides ongoing advice to investment advisers on securities law issues, including SEC filings. His practice also involves counseling clients in SEC regulatory matters, including compliance issues related to registered advisers.

David came to Sadis after over six years as the General Counsel and Chief Compliance Officer of Gabelli & Company Investment Advisers, Inc., the registered alternative asset manager affiliated with the Gabelli group. While at Gabelli, David was responsible for all legal, regulatory and compliance matters involving the adviser, including fund formation. During that time, he also advised the adviser’s public company parent on its SEC filing obligations and on a number of corporate finance matters, including the spinoff of its registered broker dealer to its shareholders and the launch of its SPAC platform.

Greg Grinberg

EREZ ASSET MANAGMENT

COO

ggrinberg@erezassetmgmt.com

IQ-EQ

REGIONAL HEAD, EAST

cameron-irag@iqeq.com

https://www.linkedin.com/in/cameron-iraj83b538b/

Tom Kennedy

SADIS & GOLDBERG, LLP PARTNER

212.573.8038

tkennedy@sadis.com

https://www.linkedin.com/in/thomas-kennedy-3616b28/

Tom Kennedy is a financial services compliance lawyer with nearly 30 years of experience in the investment management industry. His specific areas of expertise include counseling investment advisory firms (including those who advise private funds including hedge funds, private equity, venture capital and funds of funds, and registered investment companies), broker dealers and banks/trust companies engaged in wealth management and fiduciary activities.

Tom has gained expertise in investment advisory and anti-money laundering and sanctions laws and regulations. He also possesses international experience with UK approved advisers, Irish UCITS funds, and other European fund and distribution schemes. Tom’s experience with firms, both large and small, gives him a unique understanding of regulatory and compliance program needs for his clients in the asset management business. Tom has significant examination and liaison experience with various regulatory bodies including the SEC, FINRA, CFTC, NFA, OCC, Federal Reserve, DOL, FCA and others. Tom has appeared before the SEC, and helped regulators shape new regulations, and he has represented his firm in multiple matters; resolving enforcement matters and implementing remediation plans when necessary. Tom also supplied training to asset management examiners multiple times at the SEC, OCC and Fed’s request.

Over the course of his career, he has been a sought-out participant and speaker in various industry group functions. Tom holds a Juris Doctor, cum laude, from St. John’s University School of Law, and a BA in Criminal Justice from Iona University. Tom is licensed to practice law in New York.

Allyson Manning

STRIDE CAPITAL GROUP

DIRECTOR & CCO

amanning@stridecapital.com

https://www.linkedin.com/in/allysonmanning/

Proactive “jack of all trades” professional managing competing priorities to advance a wide array of operations, finance, investor relations, and strategic projects with minimal oversight.

Effective strategic communicator and problem-solver for internal and external stakeholders across 5+ partner firms.

Greg Moroney

ABS GLOBAL INVESTMENTS

PARTNER

gjm@absinv.com

https://www.linkedin.com/in/greg-moroney-caia-7b7352 5/

Greg Moroney is a Partner and Senior Operational Due Diligence Analyst at ABS. He is responsible for operational due diligence globally. Prior to joining ABS in July 2006, he was an Operations Account Manager for State Street Bank & Trust Company.

He graduated with a BA in History and Economics from Colgate University and is a CAIA charterholder.

Frank Restagno

SADIS & GOLDBERG, LLC PARTNER

212.573.8145

frestagno@sadis.com

https://www.linkedin.com/in/frank-restagno-a6514067/

Frank S. Restagno is a Partner in the firm’s litigation group. His extensive trial and arbitration experience includes the successful prosecution and defense of a wide range of claims before federal juries and domestic and international arbitral tribunals, including claims for breach of fiduciary duty, false advertising, and breach of contract. He has managed cases spanning all phases of litigation, from pre-complaint investigation through appeal.

Before joining Sadis & Goldberg, Frank was an associate at Winston & Strawn LLP, where he focused on federal securities class action defense, M&A and corporate governance-related litigation and advice, and breach of contract and intellectual property disputes. In law school, Frank was the Managing Editor of the Fordham Urban Law Journal and interned for Magistrate Judge A. Kathleen Tomlinson of the Eastern District of New York and Associate Justice Angela M. Mazzarelli of the Appellate Division of the New York Supreme Court, First Department.

Christopher Rosado WORLDQUANT

DEPUTY GENERAL COUNSEL

christopher.rosado@worldquant.com

https://www.linkedin.com/in/christopher-rosado-62781b5/

Christopher Rosado is Deputy General Counsel at WorldQuant. He is a commercially-oriented asset management attorney and compliance officer with in-house and law firm experience. He is admitted to practice law in New York and Connecticut.

John Rosanelli

FUNDBANK CEO

jrosanelli@fundbank.com

https://www.linkedin.com/in/johnrosanelli/

Entrepreneurial executive with broad and diverse banking experience; developed and executed new business strategies in banking, finance, capital markets, credit, cash management, treasury services, operations, digital channels and digital assets with alternative investment professionals, firms, and funds.

Alex Russo

WEXFORD CAPITAL LP

COMPLIANCE ASSOCIATE

arusso@wexford.com

https://www.linkedin.com/in/alexanderr13/

Jose Sanchez-Kinghorn

UBS

MANAGING DIRECTOR

https://www.linkedin.com/in/jose-a-sanchez-kinghorn-094a0a9/

Brian Sapadin

GLOBE TAX SERVICES, INC

EXECUTIVE DIRECTOR

brian_sapadin@globetax.com

https://www.linkedin.com/in/brian-sapadin-4277 306/

Brian Sapadin is an Executive Director of GlobeTax’s Sales team and manages the firm’s hedge fund practice. Brian provides strategic consultation to both domestic and offshore funds seeking to identify and recover overwithheld investment income on cross-border investments. He also maintains strong relationships with the prime brokerage and hedge fund services community in support of the business development effort and client reclaim process.

Prior to joining GlobeTax, Brian held senior business development and relationship management positions with global investor relations, financial communications and technology firms. Previously, he served as an analyst and trader on Citi’s corporate loan syndications desk where he helped launch a liquid market for secondary loan trading.

Bachelor’s Degree in Finance from The George Washington University

NASD Series 7 and 63 licenses

Member: MFA, NY Hedge Fund Roundtable, CT Hedge Fund Association, Mid-Atlantic Hedge Fund Association

Joesph Signorile

BARINGTON CAPITAL

COO

jsignorile@barington.com

https://www.linkedin.com/in/joseph-signoril e/

Joseph Signorile CPA, MS is Barington's Chief Financial and Compliance Officer and has over 25 years of hedge fund and asset management experience. Previously, Mr. Signorile spent over 13 years as a partner, Chief Operating Officer and Chief Financial Officer for Kensico Capital Management in Greenwich, CT., a multi-billion dollar long/short hedge fund focused on value investing. Prior to Kensico, Mr. Signorile was a Vice President of finance and accounting working directly with the Chief Financial Officer at both Pequot Capital Management and its spin-off, Andor Capital Management, in Connecticut.

Mr. Signorile began his career with both GGK and PWC as a Manager focusing on hedge funds and asset management firms and holds both a B.A. in accounting from Hofstra University and a master's degree in taxation from Pace University. He is a registered CPA in New York.

Mordecai Slomich

STRATEGIC VALUE PARTNERS

FUNDS COUNSEL

mslomich@svpglobal.com

https://www.linkedin.com/in/mordecai-slom ich/

Experienced alternative investment professional with deep technical knowledge of the management, structuring, laws, and operations of investment advisers and alternative investment vehicles. Excellent demonstrated communication skills with a proven ability to impact the strategic direction of an organization.

Steven Spencer

SIRIS CAPITAL GROUP, LLC

PARTNER / CLO / COO

spencer@siris.com

https://www.linkedin.com/in/spencer-steve n-j/

Accomplished and results-driven general counsel and chief compliance officer with a successful record of achievement in public and private transactions, regulatory compliance, operational improvement, corporate governance, litigation management, employment and HR matters, and solution-oriented contract management, negotiation, and drafting. Valued member of executive team, who utilizes transformational leadership skills to build and enhance top-tier legal and compliance functions, drive business success, and develop future talent. Trusted advisor, who applies strategic approaches and hands-on support to resolve complex challenges. Recognized thought leader and frequent seminar speaker on investment fund legal, compliance, and operations best practices.

Serge Todorovich

SHENKMAN CAPITAL

GENERAL COUNSEL & CCO

serge.todorovich@shenkmancapital.com

https://www.linkedin.com/in/sergetodorovich/

Vincent Vacco

JB MGMT. INC.

CFO & CCO

Vvacco@JGBcap.com

https://www.linkedin.com/in/vincentvacco/

I’m an accomplished financial executive with broad strengths in financial planning and management, accounting and taxation, process improvement, cost reduction, operations, and administration. For the majority of my career, I have worked at investment management firms (hedge fund and private equity vehicles) specializing in distressed securities including corporate bonds, bank debt (term loans and revolvers), equities, options and most recently, direct lending. I have the ability to objectively identify, analyze, and resolve critical issues impacting financial and/or operational processes increasing reliability and stability. Additionally, I have the proven ability to create an environment where people work with a commitment to achieve established goals. In short, I combine outstanding human relations skills with the management knowledge, resourcefulness, and drive that are required to propel an organization to the next level of success.

Daniel Weiner

WEXFORD

CAPITAL LP

MANAGING

DIRECTOR, GENERAL COUNSEL, & CHIEF COMPLIANCE OFFICER

dweiner@wexford.com

https://www.linkedin.com/in/daniel-j-weiner-826b4220/

I am an attorney with over a decade's worth of experience working in-house. I provide practical and effective legal counsel to senior management of registered investment advisers, including principals, officers, portfolio managers, board directors, and other executives. In so doing, I have advised on a broad array of domestic and transnational business, legal, and regulatory matters, whether routine or unusual, that confront registered investment advisers, hedge funds, private equity funds, real estate investments, and portfolio companies. I also have extensive experience dealing with regulatory and other governmental agencies, financial and banking institutions, broker-dealers and other sell-side institutions, trading and other business counterparties, law firms that vary in size and expertise, and a wide variety of vendors and service providers.I am an attorney with over a decade's worth of experience working in-house. I provide practical and effective legal counsel to senior management of registered investment advisers, including principals, officers, portfolio managers, board directors, and other executives. In so doing, I have advised on a broad array of domestic and transnational business, legal, and regulatory matters, whether routine or unusual, that confront registered investment advisers, hedge funds, private equity funds, real estate investments, and portfolio companies. I also have extensive experience dealing with regulatory and other governmental agencies, financial and banking institutions, brokerdealers and other sell-side institutions, trading and other business counterparties, law firms that vary in size and expertise, and a wide variety of vendors and service providers.

Irene Willard

DUNES POINT CAPITAL

CFO & CCO

irene.willard@dunespointcapital.com

https://www.linkedin.com/in/irene-willard/

Ms. Willard joined Dunes Point Capital in 2020.

Prior to joining Dunes Point Capital, Ms. Willard was the Chief Financial Officer of The Raine Group’s Principal Business, where she developed the finance function for the Firm’s growth equity, venture capital, and hedge fund strategies totaling over $3.3 billion in managed assets. Prior to joining Raine, Ms. Willard was a finance manager at Vedanta Capital, a private equity firm led by former executives of INVESCO Private Capital. She began her career as an auditor at PricewaterhouseCoopers in its Banking and Capital Markets practice. Ms. Willard is a Certified Public Accountant in New York.

Ms. Willard earned a B.A. in English and a Masters in Accountancy from the University of Florida, where she graduated Phi Beta Kappa and was a Don Miller Fellow. As a graduate student, she served as an academic advisor for the Fisher School of Accounting.

THE EARNOUT

Financial Service Industry Publication Advertising Opportunities

Held on every other Tuesday at 8:30 a.m., these meetings are collaborative conversations on industry hot topics, hosted by Paul Marino. Please note, all meetings are first-come, first-serve and all submissions will be subject to approval and capacity restrictions. Feel free to add our business breakfast schedule to your calendar.

https://www.sadis.com/insights/business-breakfast-winterspring-2024-calen dar

COMPANY OVERVIEW

FOCUSED ON SOPHISTICATED REPRESENTATION

The firm maintains a diverse, business-oriented practice focused on investment funds, litigation, corporate, real estate, regulatory, tax and ERISA. Drawing on the experience and depth of our attorneys in these distinct areas, we can leverage each attorney's industry specific knowledge to help our clients succeed. This collaborative approach brings to the table a collective insight that contributes to sensible, efficient resolutions, and allows us to remain attentive to the cost and time sensitivities that may be involved.

Sadis & Goldberg's clients include domestic and international entities, financial institutions, hedge funds, private equity funds, venture cap ital funds, buyout funds, commodity pools, and numerous corporate and business entities oper ating in a variety of industries around the world.

Sadis & Goldberg's Corporate group represents business entities in all stages of growth, from small startups and emerging businesses to large and long-established business entities. Our attorneys act as ongoing transactional counselors and resolve complex issues in the United States and internationally, in areas such as mergers and acquisitions; contract negotiations, technology agreements, TMT transactions (tech, media, and telecom) activist investing; derivatives; private equity, hedge funds, and venture capital; securities regulation; PIPE transactions; banking and finance; and capital markets. The broad nature of the services we render reflects the wide scope of our clients' needs and the many and varied industries in which they operate. Attorney teams drawn from the firm's related legal areas collaborate to provide the experience needed for each of these transactions, including counsel on issues related to tax, real estate, labor, ERISA, litigation and intellectual property, as the client's circumstances require.

FOCUSED ON YOU

Our passion for service, deep business and financial services experience, and our sensible billing model, provide uncommon value without compromise. See how we can help with:

• Financial Services Litigation

• Real Estate

• Family Office

• Tax

• Fund Formation

• Regulatory Compliance

• Private Equity

• Mergers & Acquisitions