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Some Small Time Rothschild Ops in the U.S.A.
Rothschild North America, Inc. | Rothschild, Inc. | Rothschild Asset Management, Inc.
-1251 Avenue Of The Americas, 51st Floor; New York, NY 10020 (212) 403-3500 | Fax: 212-403-3501
-1101 Connecticut Avenue NW, Suite 700; Washington DC 20036 (202) 862-1660 | Fax: (202) 862-1699 | http://www.us.rothschild.com/
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Rothschild North America Inc.
Rothschild North America, Inc. is a subsidiary of the international Rothschild banking empire. A July 8, 2003 Rothschild press release announcing the reorganization of the Rothschild banking empire includes an organizational chart showing Rothschild Inc., N M Rothschild & Sons (Washington), and NM Rothschild & Sons Canada Limited under the auspices of Rothschild North America. … The announced reorganization of the banking empire consolidated “Rothschild’s English and French operations …into a new holding company, Concordia B.V., with each group a co-owner. Concordia will own a controlling interest in Rothschilds Continuation Holdings of Switzerland, where Baron David de Rothschild will serve as chairman. Rothschilds Continuation will acquire all the shares of the American and Canadian Rothschild banks,” which includes Rothschild North America, Inc.
->External link: French and English Rothschilds unite to form a single banking group. Proposed buyout offer for Paris Orléans, July 8, 2003. Press Release: (Eric de Rothschild, Chairman of the Board): “The English and French branches of the Rothschild family have decided to rationalise and unify their entire financial and banking interests in France, the United Kingdom, Europe, North America, Switzerland and the rest of the world…. David de Rothschild will head the new group as a whole while Sir Evelyn de Rothschild will continue as non-executive Chairman of NM Rothschild & Sons. This reorganisation completes a process of international integration which began several years ago. It offers opportunities for synergies and profitable growth. It will unite 2,500 employees in more than thirty different countries around the world to create a group with net banking income of around “€900 million”, a group with an independent, international business model, able to provide its clients with a personal and local service.”
“Rothschild North America is the US-based asset management and investment banking arm of “venerable” UK financial services provider N M Rothschild & Sons. Investment banking services include debt and equity advising; mergers and acquisition consulting; and restructuring consultations for businesses in the Americas. Rothschild North America’s Asset Management unit offers equity and fixed-income investments to customers that include corporations, endowments, foundations, and other institutional clients. The company has operations in Montreal, New York, Toronto, and Washington, D.C.” Employees: 700.
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Key Executives
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James Arthur Lawrence - Chief Executive Officer and Co-Head of Global Investment Banking
Age 59 (b. 1952). ”Mr. James Arthur Lawrence, Jim has been the Chief Executive Officer and Co-Head of Global Investment Banking at Rothschild North America Inc., since 2010. Mr. Lawrence served as the Chief Financial Officer of Unilever NV from September 1, 2007 to December 31, 2009. Mr. Lawrence served as Chief Financial Officer of Unilever plc from September 1, 2007 to December 2009. Mr. Lawrence served as an Executive Vice President of International Operations of General Mills Inc. from 2000 to 2006 and Chief Financial Officer from October 1998 to 2007. He was responsible for corporate financial activities and international operations of General Mills Inc. He served as an Executive Vice President and Chief Financial Officer of Northwest Airlines from 1996 to 1998. He served as an Executive Vice President of Pepsi-Cola International. He served as President and Chief Executive Officer for operations in Asia, Middle East and Africa of Pepsi-Cola International from 1992 to 1996. He served as Partner of Bain and Company and headed its London and Munich offices. He Co-founded LEK Consulting (formerly LEK Partnership) in 1982 and FairAir.com. He served with Boston Consulting Group and Bain & Company. Mr. Lawrence serves as Chairman of the Board of FairAir.com. He served as Chairman of LEK Partnership from 1983 to 1992. Mr. Lawrence served as Vice Chairman of General Mills Inc., from May 2006 to August 2007. He has been Non-Executive Director of British Airways plc since November 1, 2006. He served as Executive Director of Unilever NV from May 15, 2008 to December 31, 2009. He serves as a Director of TransTechnology Corp., FairAir.com, Allina Hospitals & Clinics and International Consolidated Airlines Group, S.A. He serves as Trustee of University of Minnesota Foundation. Mr. Lawrence served as an Independent Director of Avnet Inc. from 1999 to July 15, 2008. He served as Director of Unilever Plc from May 15, 2008 to December 31, 2009. He served as Director of Physicians Formula Holdings Inc. from October 23, 2006 to October 25, 2007. Mr. Lawrence served as Director of St. Paul Travelers Companies Inc. (The Travelers Companies, Inc.) from April 1, 2004 to May 3, 2005. He served as Director of The St. Paul Companies, Inc. since May 6, 2003. Mr. Lawrence served as Director of General Mills Inc. He served as a Director of Travelers Property Casualty Corp., since May 6, 2003, Intuitive Surgical Inc., since March 2000 and Apple Inc. (Formerly, Apple Computer Inc.) since January 5, 2004. His board affiliations include American Reinsurance Inc. and Continental Airlines. His community involvement includes serving on Board of Overseers of the Carlson School of Business at the University of Minnesota. Mr. Lawrence received his bachelor of arts degree in Economics from Yale University in 1974 and his MBA with distinction from Harvard Business School in 1976.” Other Affiliations (Board Memberships, etc.): Apple Inc.; Intuitive Surgical, Inc.; Unilever plc; FairAir.com; Avnet Inc.; International Consolidated Airlines Group, S.A. ; General Mills, Inc.; Breeze-Eastern Corporation ; The St. Paul Companies, Inc.; The Travelers Companies, Inc. ; Unilever NV; Harvard Business School; Allina Health System, Inc.; Yale University; University of Minnesota Foundation; Physicians Formula Holdings Inc. [See Board Relationships (69)] | http://www.nndb.com/people/904/000170394/ | http://www.tracked.com/person/james-lawrence-318397/ | http://www.campaignmoney.com/political/contributions/james-lawrence.asp?cycle=08 <–MINNEAPOLIS, MN 55409, ca. 2008-?>James A Lawrence 4415 E Lake Harriet Blvd; Minneapolis, MN 55419-4746 [55-59 / Mary G Lawrence]
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Nigel Higgins - Co-Head of Global Investment Banking
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Olivier Pécoux - Co-Head of Global Investment Banking
Age 52. Chief Executive Officer, Managing Director, General Manager and Member of the Executive Board, Paris Orleans S.A. ”Olivier Pécoux has been Chief Executive Officer, Managing Director and Member of the Executive Board at Paris Orleans S.A. since March 30, 2010 and serves as its General Manager. Mr. Pécoux serves as Co-Head of Global Investment Banking at Rothschild North America Inc. Mr. Pécoux serves as Managing Partner of Rothschild et Cie and Rothschild et Cie Banque. Mr. Pécoux has been Independent Director of Essilor International since January 31, 2001. Mr. Pécoux serves as Director of Rothschild Espana and Rothschild Italia. He serves as Member of the Supervisory Board of Financière Rabelais and Rothschild Gmbh and Member of Group Management Committee of N M Rothschild & Sons Limited.” Other affiliations: Rothschild North America Inc.; Essilor International SA; N M Rothschild & Sons Limited; Paris Orleans S.A. [See Board Relationships (18)]| Olivier J Pecoux | New York, NY |    |
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Scott Belser - Partner
<-? “Scott Belser serves as a Partner of N M Rothschild & Sons Ltd. Most recently, Mr. Belser partnered with Robert Waterman to consult for a number of technology companies, including NET, Ask Computer (now part of Computer Associates), and Lotus Corporation. Prior to partnering with Robert Waterman, he was at McKinsey & Co., where he worked in the technology industry. Before joining McKinsey, Mr. Belser was with Deloitte & Touche, where he worked in the small business division. He served as a Director of Livecapital, Inc. He is a graduate of Princeton University, Oxford University, and Harvard Business School.” Other affiliations: Rothschild North America Inc.; LiveCapital, Inc. [San Mateo, Ca.]; Harvard Business School; Princeton University; University of Oxford | http://www.123people.com/s/scott+belser.-?>Scott Belser 2142 Bush St; San Francisco, CA 94115-3104
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Jon David “JD” Friedland - Managing Director
NY, NY. | “Mr. Jon David Friedland is a Managing Director at Rothschild North America Inc. since April 2005. He is also a Head of North American Healthcare at Rothschild Inc. Mr. Friedland joined Rothschild from Rinaldini & Co. LLC. Earlier, he worked for Lazard, Dresdner Kleinwort Wasserstein and started his career in investment banking at Cowen & Co. in 1995. Mr. Friedland headed the medical devices practice at both Lazard and DrKW. Previously, he also served as a Strategic Partner at Trevi Health Ventures LP. Mr. Friedland currently serves on the Board of Directors at Great Circle Family Foods LLC and Synvasive Technology, Inc. He graduated from the University of Southern California and received an M.B.A. from The Wharton School of the University of Pennsylvania.” | http://www.epsilonsecurities.com/about/about_jd.html - “Mr. Friedland is a Senior Managing Director at Epsilon Securities. He has provided strategic advice to corporate and financial clients in the healthcare sector for the last 15 years. His client list includes such prominent firms as Abbott Laboratories, Aetna, Caregiver Services, Fresenius Medical Care, Misys, Ocular Sciences, Pfizer, and Volcano. …Until 2007, Mr. Friedland was Head of U.S. Healthcare for Rothschild, Inc. Prior to joining Rothschild Inc. in 2005, Mr. Friedland was a Managing Director at Rinaldini & Co., a New York-based investment firm specializing in corporate finance and financial advisory services. Mr. Friedland has also held senior positions in the Healthcare Group at Lazard Frères, Wasserstein Perella (later Dresdner Kleinwort Wasserstein) and Cowen & Company. | Direct: (212) 684-2578 | Email: jd@epsilonsecurities.com | Relevant Transaction Experience: Cenegenics debt recapitalization; Caregiver Services Inc. acquisition financing; Pfizer divesture of Phadia; Volcano acquisition of Jomed in concert with Abbott.” Other affiliations: Trevi Health Ventures LP; Epsilon Securities-?>Jon D Friedland 250 W 50th St, Apt 17N; New York, NY 10019-6721 (212) 842-0234 [45-49 / Debbie Friedland]
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Board Members
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Wilbur L. Ross Jr. - WL Ross and Co. LLC
Age 72. Chairman and Chief Executive Officer, WL Ross and Co. LLC. “Mr. Wilbur L. Ross, Jr. serves as the Chairman and Chief Executive Officer at WL Ross and Co., L.L.C. Mr. Ross also serves as the Chairman and Chief Executive Officer at WLR Recovery Fund L.P., WLR Recovery Fund II L.P., WLR Recovery Fund III L.P., Asia Recovery Fund, Asia Recovery Fund Co-Investment, Nippon Investment Partners, and Absolute Recovery Hedge Fund and is employed at WLR Recovery Fund V, L.P. He is an acknowledged industry leader in bankruptcy, restructuring, and privatization services and is one of the leading financial advisors and investors to have been involved in the largest bankruptcies and out-of-court restructurings. Mr. Ross has assisted in restructuring more than $200 billion of corporate liabilities. He is well known as a skilled negotiator and as an expert in the bankruptcy process. Mr. Ross has worked on a variety of complex bankruptcy proceedings in a broad range of industries. He previously served as an Executive Managing Director at Rothschild Inc. Mr. Ross is a Member of Investment Committee at Taiyo Pacific Partners, LP and the Chairman of Investment Committee at The Taiyo Fund, L.P. He is the Non-Executive Chairman of International Coal Group, Inc. and the Chairman of International Textile Group, Inc., and Nano-Tex, L.L.C. He serves as a Director of First Michigan Bank (Troy, MI) and First Michigan Bancorp, Inc. Mr. Ross is a Director of Spicejet since January 31, 2009, Mittal Steel Company, N.V.; Insuratex, Ltd.; Nikko Electric Industry Co. Ltd.; Ohizumi Manufacturing Company; Tong Yang Life Insurance Co.; Syms Corp.; Clarent Hospital Corp.; News Communications Inc.; Safety Components International, Inc.; Turbo Ride SL; International Automobile Components Group SL; IAC Group SaRL; IAC Acquisition Corporation Limited; and Assured Guaranty Ltd and a Director at Montpelier Re Holdings Ltd. since June 28, 2006. He is the Chairman of INVESCO Private Capital. He is a Member of Board of Advisors at The Yale School of Management and a Board Member of the Japan Society, Greenbrier Companies, and the Yale University School of Management. Mr. Ross served as the Chairman of the Smithsonian Institution National Board. He received a B.A. degree from Yale University and an M.B.A. degree, with distinction, from Harvard University.” Other affiliations: INVESCO Private Capital; Rothschild North America Inc.; Casella Waste Systems Inc.; KTI, Inc.; Mego Financial Corp.; Clarent Hospital Corp.; Harvard University; News Communications, Inc.; Smithsonian Institution; Syms Corp.; Burlington Industries Inc.; Greenbrier Companies; Cascade Bancorp; Safety Components International, Inc.; ArcelorMittal; Sun Bancorp Inc.; N M Rothschild & Sons Limited; Wagon plc; Rothschild Inc.; Harvard Business School; Nikko Electric Industry Co., Ltd.; Montpelier Re Holdings Ltd.; ArcelorMittal USA Inc.; Yale University; BankUnited, FSB; Ohizumi Mfg Co., Ltd.; Nano-Tex, Inc.; Taiyo Pacific Partners, LP; Arcelor SA; The Yale School of Management; Assured Guaranty Ltd.; Plascar Participacoes Industriais; IPE Expansion Fund; International Textile Group, Inc.; Office of Federal Housing Enterprise Oversight; The Harvard Business School Club of Greater New York, Inc.; The IAC Group, Inc.; International Coal Group, Inc.; Tong Yang Life Insurance Co., Ltd.; SpiceJet Ltd.; Mittal Steel Annaba; JSC ArcelorMittal Temirtau; International Automotive Components Group GmbH; The Taiyo Fund, L.P.; International Automotive Components Group Japan, LLC; International Automotive Components, North America; First Michigan Bancorp, Inc.; First Michigan Bank; BankUnited, Inc.; Air Lease Corporation; WLR Recovery Fund V, L.P. [See Board Relationships (262)]*#205 Wilbur Ross ($1.9B) | http://www.forbes.com/wealth/forbes-400/gallery/wilbur-ross | …lives and/or works in Palm Beach, FL
-Wilbur L Ross Jr 328 El Vedado Rd; Palm Beach, FL 33480-4736 [65+ / Hilary G Ross] Prior: New York, NY (2007)
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“Baron” David (René) de Rothschild - Paris Orleans S.A.
[See Board Relationships (29)]
-David Derothschild Beverly Hills, CA 90210 [Daniel Ziff David Ziff Dirk Zikk [Ziff] Delores Rothschild David Rothschild MICHAEL BARNES MICHA BARNES] Send email
| Baron David De Rothschild | Wilmington, DE | |
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| Baron David De Rothschild | Paris, FR | |
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| Baron David De Rothschild | New York, NY | |
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| Baron David De Rothschild | Slc, UT | |
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Raymond W. Smith - Verizon Communications Inc.
Age 69. McLean, Va. Chairman, Verizon Communications Inc. ”Raymond W. Smith served as the Chairman and Chief Executive Officer at Bell Atlantic Corporation from 1989 until December 1998. Previously, Mr. Smith also served as the Vice Chairman, President and Chief Financial Officer at Bell Atlantic. Under his leadership, Bell Atlantic acquired NYNEX in 1997 and announced the acquisition of GTE in 1998. In addition, it completed over 100 acquisitions and joint ventures, many under Mr. Smith’s leadership. Prior to this, he was a … Director of Budget and Finance at AT&T and Chief Executive Officer at Bell of Pennsylvania and Delaware. He serves as the Chairman of Executive Committee at Arlington Capital Partners. He serves as the Chairman of Verizon Ventures and Bell Atlantic Venture Fund, Inc. He served as Chairman of Rothschild Inc. He also served as the Chairman of The Bell Telephone Company of Pennsylvania. He has served on the Boards of Bell Atlantic, The Carnegie Corporation, Westinghouse, CBS, Corestates Financial, First Union, US Airways, and others. Mr. Smith serves as a Director of Rothschild North America Inc. and formerly served as its Chairman. He also serves as a Director of Rothschild Continuation Holdings AG and Five Arrows Capital. Mr. Smith serves as also a Trustee of the Lincoln Center Theater, Rockefeller Foundation, and Carnegie Mellon University. In 1995, he was appointed to the President’s Committee on the Arts and Humanities. Since 1996, Mr. Smith has been a Member of the National Education Association’s Chief Executive Officer Forum on Education and Technology and a Trustee of the Greater Washington Educational Telecommunications Association, Inc. He was named “CEO of the Year” by CNBC, “Top Manager” by BusinessWeek, and “Chief Executive of the Year” by the International Television Association. Mr. Smith has been recognized by the Harvard Business Review as a pioneer in the transformation of corporate cultures. He has been awarded honorary degrees from Temple University, New York University, and Drexel and Stephens Institute of Technology. Mr. Smith holds an M.B.A degree from the University of Pittsburgh and a B.S. degree from Carnegie-Mellon University.” Other affiliations: Arlington Capital Partners; Rothschild North America Inc.; Stonebridge Technologies, Inc.; CBS Corporation prior to being acquired by Viacom; Wachovia Corporation; Rockefeller Foundation, The; US Airways Group Inc., Prior To Acquisition With America West Holdings Corp.; CoreStates Financial Corp.; TeleBright Software Corporation; Rothschild Inc.; Carnegie Mellon University; Arlington Capital Partners I, L.P.; Carnegie Corp. of New York ; University of Pittsburgh; US Airways Inc.; Five Arrows Capital; Arlington Capital Partners II, L.P.; Arlington Capital Partners III, L.P. [See Board Relationships (37)] | http://www.sldn.org/pages/sldn-board-ray-smith | http://www.arlingtoncap.com/smith_ray.html.-?>Raymond W Smith 1308 Skipwith Rd; Mc Lean, VA 22101-1834 (703) 528-6777 [65+ / Phyllis R Smith]
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Rothschild Inc.
“Rothschild Inc. is a boutique investment bank that provides financial advisory services. It offers mergers and acquisitions advisory, divestitures, initial public offerings, privatization, corporate restructuring, private placements, and financial planning consulting services. The firm provides due diligence, negotiation, execution, market research, and transaction closing services. Its clientele include DONG Energy, Alibaba.com, Carin India Limited, Continental, Eurosic, and Mecom Group plc. Rothschild, formerly known as New Court Securities Corporation, was founded in 1967 and is based in New York, New York. Rothschild Inc. operates as a subsidiary of Rothschild North America Inc”
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Key Executives
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François Henrot - President of Investment Bank Activities
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Peter Bird - Managing Director
[Singapore? Australia? UK? NY?] BA, MA, PhD serves as Managing Director of N M Rothschild & Sons Ltd. Mr. Bird is the Advisor on regulatory issues in the electricity and gas sectors in the international arena and across a broad range of countries, including advising the New Zealand Treasury on the privatisation of Contact Energy. He serves as Investment Banking Professional of Rothschild Inc. He has extensive international experience in the energy and utility sectors. Mr. Bird’s investment … banking experience includes advising leading corporate on acquisitions/disposals; advising governments on privatisations; advising on arranging project finance, on acquisition financing, on mutualisation and on insolvency/debt restructuring. He has advised utilities and public sector bodies on competitive solicitations and tender design and worked with governments on energy industry restructuring. Mr. Bird spent 6 years with Coopers & Lybrand in Australia and UK with clients in both resources and financial services sectors. He also spent two years with NM Rothschild and Sons in the UK working in treasury, risk management and corporate areas. Before joining Rothschild, Mr. Bird worked as an Economic Consultant with Coopers and Lybrand; as an Economic Researcher in the oil and nuclear sectors and as an Academic Economist at Stirling University. He has been an Independent Director of Vector Ltd. since May 25, 2007. He serves as Director of InfraCo Limited. He is a Chartered Accountant. Mr. Bird holds an MBA from the Melbourne Business School, a PhD from Cambridge and has published over 30 articles in economics journals.” Other affiliations: Vector Ltd.; University of Cambridge; Investec Australia Limited; Melbourne Business School in the University of Melbourne; InfraCo Limited – director. [See Board Relationships (8)] | http://www.peimedia.com/Product.aspx?cID=7441&pID=211669&contType=11&spkID=2734.******
Jill R. Goodman - Managing Director
<-? ”Jill R. Goodman serves as Managing Director of Rothschild Inc. Ms. Goodman served as Managing Director of Lazard Ltd., where she spent twelve years. She has more than 17 years of experience advising corporate clients on M&A transactions across industries, in particular situations in which there exists an actual or potential conflict of interest among directors on a company’s board. Ms. Goodman focuses her practice on representing special and independent transaction committees. … Ms. Goodman graduated Phi Beta Kappa from Rice University and received her law degree with honors from the University of Chicago.” Other affiliations: Lazard Ltd.-?>Jill R Goodman 440 W End Ave; New York, NY 10024-5358 (212) 360-0056 [40-44]
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Michael Helou - Head of Mergers and Acquisitions
* Mugshot here: http://www.difc.ae/news/rothschild-establishes-middle-east-presence-dubai-international-financial-centre and here (I think): http://en-gb.facebook.com/people/Michael-Helou/582425259 | Age 37-38. London, UK. “Michael Helou serves as Head of Regional financial institutions coverage at Barclays Capital Inc. Mr. Helou serves as Head of Mergers and Acquisitions at Rothschild Inc. He established Rothschild’s Dubai office in 2006, to Head its regional financial institutions coverage. He joined the Barclays Capital in mid-May with responsibility for leading its FIG coverage, including mergers and acquisitions advice as well as capital markets coverage for financial institutions, the news agency reported. He served as co-head of Rothschild’s Investment Banking division in the Middle East and North Africa.” Other affiliations: Barclays Capital Inc. [U.K.]
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Paul Reynolds - Head of Financing Advisory
[Dubai?] “Paul Reynolds serves as Head of Financing Advisory at Rothschild Inc.” | http://www.meedconferences.com/capitalmarkets/Speakers.aspx?spid=20588&m_pid=&m_nid= | http://www.thenational.ae/business/a-career-as-a-holistic-adviser.******
Hervé Sawko - Head of Investment Banking for Middle East
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Todd R. Snyder - Managing Director
(From left) David Jaffe, director, Citigroup Inc; Jonathan Henes, partner, Kirkland & Ellis; Todd Snyder, managing director, Rothschild Inc; Jan Baker, partner, Skadden Arps; and Susheel Kirpalani, partner, Quinn Emanuel. | ^^^http://www.cardozo.yu.edu/MemberContentDisplay.aspx?ccmd=ContentDisplay&ucmd=UserDisplay&userid=10376&contentid=5840 | Age 47. “Todd R. Snyder has been Managing Director of Rothschild Inc. since March 2000. Mr. Snyder served as Managing Director of Peter J. Solomon Company Limited from 1997 to 2000. He served as a Managing Director at KPMG Peat Marwick from 1995 to 1997. He was an Associate at Weil, Gotshal & Manges from 1988 to 1994. Mr. Snyder was Principal, Managing Director and National Director of the Corporate Recovery Practice for Government Enterprises with KPMG LLP from 1995 to 1997. Mr. Snyder has been a Director of AMC Financial Holdings Inc. formerly known as AMC Financial, Inc. (Formerly Cityscape Financial Corp.) since August 1999. He served as Director of GenCorp Inc., from 2006 to May 2008. He is a member of the State Bar of New York. Mr. Snyder holds a law degree from the University of Pennsylvania Law School and a B.A. degree with honors from Wesleyan University.” Other affiliations: GenCorp Inc.; AMC Financial Holdings Inc.; Wesleyan University; University of Pennsylvania – Law School. [See Board Relationships (12)]-Likely?>Todd R Snyder 333 Central Park W, Apt 32; New York, NY 10025-7104 (212) 222-0658 [45-49 / Phoebe Snyder]
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Board Members
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Baron de Rothschild - The De Beers Group (And see above.)
“Baron David de Rothschild serves as Chairman of Rothschild Inc. Mr. De Rothschild serves as Deputy Chairman of Rothschild Bank AG. Mr. De Rothschild serves as a Director of The De Beers Group.” Other affiliations: The De Beers Group; Rothschild Inc.; Rothschild Bank AG. [See Board Relationships (35)]
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Roger Hartley Kimmel J.D. - Endo Pharmaceuticals Holdings Inc. [Chadds Ford, Pennsylvania]
Age 63. “Mr. Roger Hartley Kimmel is a Director at Rothschild Asset Management Inc. Prior to this, he served as a Senior Partner at Latham & Watkins LLP from December 1986 to January 2001. Mr. Kimmel serves as a Director at Weider Publications and TSR Paging Inc. He has been a Director at Schiff Nutrition International Inc. (formerly Weider Nutrition International Inc.) since August 1996. Mr. Kimmel has been a Director at Pacific Gas & Electric Co. and PG & E Corp. since January … 1, 2009. He has been the Chairman at Endo Pharmaceuticals Holdings Inc. and Endo Pharmaceuticals Solutions Inc. since May 30, 2007. Mr. Kimmel has been Vice Chairman of Rothschild Inc., since joining in January 2001. He has been an Independent Director of Endo Pharmaceuticals Holdings Inc. since July 2000. Mr. Kimmel served as a Director of Weider health and Fitness (WHF) until August 2009. He served as a Director of Algos Pharmaceutical Corp. since July 1996. Mr. Kimmel holds a J.D. Degree from the University of Virginia, School of Law, where he graduated in 1971. He holds an undergraduate degree from George Washington University in Washington, D.C., where he graduated in 1968.” Other affiliations: Endo Pharmaceuticals Holdings Inc.; Endo Pharmaceuticals Solutions Inc.; PG & E Corp.; Algos Pharmaceutical Co.; Schiff Nutrition International Inc.; Latham & Watkins LLP; Pacific Gas & Electric Co.; George Washington University; Rothschild Inc.; Endo Pharmaceuticals, Inc.; University of Virginia, The; Rothschild Asset Management Inc. [See Board Relationships (34)]-Probable?>Roger H Kimmel 1046 Lake Ave; Greenwich, CT 06831-2714 (203) 422-0480 [60-64 / Inez L Kimmel, Marie R Kimmel]
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Rothschild Asset Management Inc
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Key Executives
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Thomas Radey Johnson CFA - Chief Executive Officer, Portfolio Manager, Director, Member of Investment Committee, and Member of Quantitative Committee
Brooklyn, NY. “Mr. Thomas Radey Johnson is Chief Executive Officer, Portfolio Manager, Director, Member of Investment Committee, and Member of Quantitative Committee at Rothschild Asset Management Inc. He joined the firm in 1988 and is a Portfolio Manager of the firm’s small/mid-cap value portfolios. From 1980 to 1987, Mr. Johnson worked at Value Line, where he managed small cap equity accounts. He also served as a Director of Equity Strategy at ABD Securities. Mr. Johnson is a C.F.A. charter holder. He earned an M.Phil. and a B.A. from Yale University.”[See Board Relationships (5)]
-?>Thomas R Johnson 124 Willow St, Apt 7and/or Apt 1; Brooklyn, NY 11201-2228 (718) 797-0519[60-64 / Jane E Platt]
-?>Thomas R Johnson 8 Bayberry Rd; Bellport, NY 11713-2601 (631) 286-8855[Jane Platt]
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Salvatore Focella - Chief Financial Officer
“Mr. Salvatore Focella is Chief Financial Officer at Rothschild Asset Management Inc.” | http://www.123people.com/s/salvatore+focella
-Rothschild Realty, Member 1251 Avenue Of The Americas; New York, NY 10020-1104 (212) 403-3500
-6 (NY & NJ): http://www.whitepages.com/dir/a-z/focella/salvatore
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James Ewart Johnson - Chief Operating Officer, Secretary, and Treasurer
”Mr. James Ewart Johnson is the Chief Operating Officer, Secretary, and Treasurer at Rothschild Asset Management Inc. He joined the firm in 2006 to oversee the firm’s infrastructure, distribution, and client service functions. Previously, Mr. Johnson was the Chief Administrative Officer for US Trust’s Institutional division. He spent five years at Deutsche Asset Management as its Global Institutional Group Business Manager. Mr. Johnson also spent 14 years at Bankers Trust as the Chief Financial Officer for its Institutional Asset Management Group. He earned an M.B.A. from New York University and a B.A. from Columbia University.” CFR. | http://www.campaignmoney.com/political/contributions/james-johnson.asp?cycle=08 <–CHATHAM, NY 12037.| James E Johnson | Chatham, NY | 58 | |
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^^^Relatives: Claire Uhlerjohnston (Age 45)
-?>James E Johnson Jr PO Box 147; Chatham, NY 12037-0147 (518) 392-5149 [55-59]
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Joseph Bellantoni CFA - Managing Director, Portfolio Manager, and Chairman of Proxy Committee
”Mr. Joseph Bellantoni is a Managing Director, Portfolio Manager, and Chairman of Proxy Committee at Rothschild Asset Management Inc. He joined the firm in 1997 and is a Portfolio Manager for the firm’s small cap core portfolios. Prior to this, Mr. Bellantoni was the Chief Financial Officer of Execulease Corporation. Previously, he worked for 15 years in public accounting and financial management. Mr. Bellantoni is a C.F.A. charter holder. He holds the C.P.A. designation since 1983. Mr. Bellantoni earned an M.B.A. and a B.S. from Fordham University.”-Rothschild Inc, Managing Director 1251 Avenue Of The Americas, Fl 44; New York, NY 10020-1104 (212) 403-3500
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Mary Jane Cullinan CFA - Managing Director
”Ms. Mary Jane Cullinan is a Managing Director at Rothschild Asset Management Inc. She joined the firm in 2003 as Client Relationship Manager and Product Specialist. Ms. Cullinan has an extensive experience in investment management, holding executive positions in portfolio management, marketing and client service. Previously, she served as Senior Managing Director for Institutional Services at Rorer Asset Management. Before that, Ms. Cullinan was a Director, Marketing and Client Service at MacKay Shields. Prior to 1996, she held senior positions in equity and fixed income portfolio management and research, including Chief Investment Officer at Capital House Investment Management. Ms. Cullinan is a C.F.A. charter holder. She earned a B.A. from Vassar College.******”
Mark F. Degenhart - Managing Director, Portfolio Manager, and Member of Investment Committee
”Mr. Mark F. Degenhart is a Managing Director, Portfolio Manager, and Member of Investment Committee at Rothschild Asset Management Inc. He joined the firm in 2006 and is a lead Portfolio Manager of the firm’s mid-cap core portfolios. Prior to this, Mr. Degenhart spent seven years as an Analyst and Portfolio Manager at Oppenheimer Capital. He also served as a Director of Research and Associate Portfolio Manager at Palisade Capital for six years. Previously, Mr. Degenhart was a Securities Analyst at Cazenove & Co. He was also a Special Situations Analyst at Argus Research Corp. Mr. Degenhart earned a B.S. from the University of Scranton.” Other affiliations: University of Scranton; Oppenheimer Capital LLC-I say?>Mark F Degenhart Sr 81 Heritage Dr; Shrewsbury, NJ 07702-4045 (732) 747-5142 [45-49 / Karen E Degenhart, Kristen Degenhart]
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Luis Ferreira CFA - Managing Director, Portfolio Manager, and Member of Quantitative Committee
”Mr. Luis Ferreira is a Managing Director, Portfolio Manager, and Member of Quantitative Committee at Rothschild Asset Management Inc. He joined the firm in 2006, and is a Portfolio Manager of the firm’s long/short strategies and also contributes to its quantitative research. Prior to this, Mr. Ferreira worked for three years at Bear Stearns as an Associate Director responsible for a broad set of equity strategies. He also served as a Senior Portfolio Manager in charge of global equity and balanced portfolios at State Street Global Advisors, where he started his investment management career in 1993. Mr. Ferreira is a C.F.A. charter holder. He earned an M.B.A. from the Olin Graduate School of Business at Babson College and a B.S. from the Universidad de Los Andes.” Other affiliations: Bear Stearns Asset Management Inc.; Babson College******
Deirdre Guice - Managing Director
”Ms. Deirdre Guice is a Managing Director at Rothschild Asset Management Inc. She joined the firm in 2008 as Managing Director with responsibility for public fund sales, client service, and consultant relations. Prior to this, Ms. Guice worked for 10 years at Oppenheimer Capital in New York, where she served as a Senior Vice President with responsibility for public fund client service and business development. She has also worked as an Account Manager in the international client servicing and sales division of Gartmore Investment Management in London, servicing institutional and central bank clients in the U.S., Europe, and Asia. Ms. Guice also worked at Dreyfus Investment Advisors as a Marketing Associate in New York. She began her career with the Division of Investment Policy with the Illinois State Treasurer’s Office in Chicago. Ms. Guice holds a B.S. in Business Administration from Florida A&M University.”-I say>Deirdre J Guice 12 Rynda Rd; South Orange, NJ 07079-1463 (973) 313-1586 [35-39]
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Tina Jones - Managing Director, Portfolio Manager, Chairman of Quantitative Committee, and Member of Investment Committee
”Ms. Tina Jones is a Managing Director, Portfolio Manager, Chairman of Quantitative Committee, and Member of Investment Committee at Rothschild Asset Management Inc. She is a lead Portfolio Manager of the firm’s small-cap value portfolios. Ms. Jones joined the firm in 1995 as an Analyst and became a Portfolio Manager in 1998. She earned a B.A. from the University of Pennsylvania.”******
Chris R. Kaufman - Managing Director, Portfolio Manager, and Member of Investment Committee
”Mr. Chris R. Kaufman is a Managing Director, Portfolio Manager, and Member of Investment Committee at Rothschild Asset Management Inc. He joined the firm in 2004 and is the lead Portfolio Manager of the firm’s large-cap value portfolios. Prior to this, Mr. Kaufman worked for three years at BlackRock. He also worked for five years at the Retirement System Group as a large-cap value Portfolio Manager. Mr. Kaufman also worked for eight years in private placements as an Investment Officer at MONY Financial Services before focusing entirely on publicly traded equities. He earned an M.B.A. from Columbia University and a B.A. from Hunter College.”-?>Chris R Kaufman 135 Eastern Pkwy, Apt 9F; Brooklyn, NY 11238-6040 (718) 636-0881 [55-59 / Barbara Kass]
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Board Members
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Thomas Radey Johnson CFA - Chief Executive Officer, Portfolio Manager, Director, Member of Investment Committee, and Member of Quantitative Committee (See above.)
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Mark Kivey Tavel - Managing Director, Portfolio Manager, Member of Investment Committee, and Director
”Mr. Mark Kivey Tavel is a Managing Director, Portfolio Manager, Member of Investment Committee, and Director at Rothschild Asset Management Inc. He joined the firm in 1988. Mr. Tavel is the Lead Portfolio Manager of the firm’s large-cap core portfolios and the balanced team. Prior to this, he worked for 20 years at Value Line, where he was the President of the asset management division managing institutional and mutual fund assets. Mr. Tavel earned an M.B.A. from Columbia University and a B.A. from Harvard University.” [See Board Relationships (5)]-Mark K Tavel 110 Riverside Dr, Apt 7A; New York, NY 10024-3732 (212) 496-2119 [65+ / Susana S Tavel]
-Mark K Tavel 153 Stissing Rd; Stanfordville, NY 12581-5736 (845) 868-1544 [65+ / Susana S Tavel]
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R. Daniel Oshinskie CFA - Managing Director, Portfolio Manager, and Chairman of Investment Committee
”Mr. R. Daniel Oshinskie is a Managing Director, Portfolio Manager, and Chairman of Investment Committee at Rothschild Asset Management Inc. He joined the firm in 2001 and is the lead portfolio manager of the firm’s small/mid-cap core portfolios. Prior to this, Mr. Oshinskie worked for more than six years as a Securities Analyst at Palisade Capital Management, Schroders, and Value Line. He also served as a Consultant at M.E. Nelson Company. Mr. Oshinskie was an Investment Officer at Crestar Bank. He is a C.F.A. charter holder. Mr. Oshinskie earned an M.B.A. from Rutgers University and a B.S. from Virginia Commonwealth University.” [See Board Relationships (5)| Dan Oshinskie | Fairfield, CT | |
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-?>Robert D Oshinskie 212 Coventry Ln; Fairfield, CT 06824-1610 (203) 256-9957 [45-49 / Lynda A Oshinskie, Jose Oshinskie]
-16 Oshinskie: http://www.whitepages.com/dir/a-z/oshinskie
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Gerald Rosenfeld - Lazard Ltd. [NY, NY]
“ …is an American businessman, academic, and investment banker. He is well known as the former Head of Investment Banking of Lazard and as the former CEO of Rothschild North-America from 2000 to 2007. He is currently an Adjunct Professor of Finance at New York University Stern School of Business, teaching in their Executive Education Open Enrollment program, Integrated Law and Business Financial Risk Management. Until February of 2011, Rosenfeld continued to work at Rothschild in the capacity of senior advisor. In 2011, he returned to Lazard as a senior executive” -twinkipedia. “Gerald Rosenfeld served as the Chief Executive Officer of Rothschild North America since January 2000. Previously, Mr. Rosenfeld was the Managing Member of G. Rosenfeld & Co. LLC, an investment banking and consulting firm, from November 1998 to January 2000. Prior to that time, Mr. Rosenfeld was Senior Managing Director of NationsBanc Montgomery Securities LLC, an investment banking firm, from April to November 1998, and a Managing Director and head of Investment Banking of Lazard Frères & Co. LLC, an investment banking firm, from 1992 to 1998 and a Managing Director and Group Head at Bankers Trust Securities Inc. from 1988 to 1992, each of these entities being investment banking firms. He has been a Director of Case Corporation since 1994. He is a Member of Advisory Board of Open Compliance and Ethics Group. Mr. Rosenfeld serves as Non Executive Director of Rothschild & Sons Ltd. He is also a Director of ContiGroup Inc. Mr. Rosenfeld served as a Director of Resources Connection Inc. since April 1999. Mr. Rosenfeld is Director at Rothschild Asset Management Inc.” Other affiliations: Lazard Ltd.; Rothschild North America Inc.; Resources Connection Inc.; Continental Grain Company; Case Corporation; N M Rothschild & Sons Limited; CIT Group Inc.; New York University; Rothschild Asset Management Inc.; CIT Holdings, LLC; Open Compliance and Ethics Group; Catalist LLC. [See Board Relationships (63)] | Pic above: http://www.continentalgrain.com/continentalGrainCompany/boardOfDirectors.aspx.
-?>Gerald Rosenfeld 580 W End Ave; New York, NY 10024-1723 (212) 979-0049
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Roger Hartley Kimmel J.D. (See above.)
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Andrew Didham - N M Rothschild & Sons Limited [UK]
Mr. Andrew Didham is an Executive Director at N M Rothschild & Sons Limited. Prior to this, he served as Group Finance Director of N M Rothschild & Sons Limited (formerly Rothschild & Sons Ltd.). Mr. Didham serves as Director at Rothschilds Continuation Finance Plc and Rothschild Asset Management Inc.” Other affiliations: Rothschilds Continuation Finance Plc; Rothschild Asset Management Inc. [See Board Relationships (17)]
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OTHERS, found here>
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Roger Bos, CFA, Senior Vice President
Roger is responsible for quantitative research. He is also a member of the firm’s Quantitative Committee. Prior to joining the firm in 2004, he spent six years at Standard & Poor’s focusing on quantitative research projects and two years at Value Line as an equity analyst. Roger earned a BS from Rockhurst University, an M.Phil. from the University of the West Indies and an MS in Computational Finance from Carnegie Mellon University.| Roger John Bos | New York, NY | 40 | |
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| Roger John Bos | Jersey City, NJ | 40 | |
View Details |
-?>Roger J Bos 175 Newtown Tpke; Weston, CT 06883-1630 (203) 341-0795 [35-39 / Gaitrie Bos] Prior: Jersey City, NJ (2008)
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Corey Brodsky, Vice President
Corey joined the firm in 2007 as sales coordinator for the managed account business. In 2010, he assumed additional responsibility for business development of the firm’s sub-advisory business. In these roles, he supports the firm’s management, sales and marketing initiatives on behalf of the sub-advisory and managed account platforms through which the firm’s products are available. Previously, he worked at U.S. Trust as a regional sales coordinator and financial officer in its financial institutions group. He also worked for almost six years at MetLife/New England Financial in various roles in the firm’s broker-dealer and annuities divisions. He earned a BS from Keene State College.-?>Corey M Brodsky 232 Bloomfield St, Apt 3; Hoboken, NJ 07030-4724 [35-39]
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Natasha Kassian, Chief Compliance Officer
Natasha Kassian was appointed Chief Compliance Officer for Rothschild Asset Management on January 1, 2010. She has extensive experience in providing compliance support on behalf of institutional and retail seperate accounts and wrap programs, as well as registered and private funds. … Prior to joining Rothschild in December 2009, Ms. Kassian served as Senior Vice President, Assistant General Counsel and Risk Management Officer of Dwight Asset Management Company LLC. She has also worked in the legal and compliance departments of UBS Global Asset Management, Morgan Stanley Investment Management and The Dreyfus Corporation, as well as in the investment management departments of the law firms Schulte, Roth & Zabel LLP and Paul, Weiss, Rifkind, Wharton & Garrison. She has also clerked for the Honorable Fred I. Parker of the United States Court of Appeals for the Second Circuit. She received her JD from St. John’s University School of Law and a BA in accounting and economics from Queens College. She is admitted to practice law in both the State of New York and the Commonwealth of Massachusetts.-Natasha M Kassian 1805 215th St, Apt 11N; Bayside, NY 11360-2120 [45-49 / Alexander M Kassian, Diana Kassian]
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Michael Kehoe, Vice President
Michael joined Rothschild Asset Management in 2008 as a vice president and healthcare analyst for our Small-Cap Growth strategy. Previously, he served as a research analyst covering medical technology at both Cowen & Company and CIBC. He has also worked as an options trader at Knight Securities. He earned a BA from the University of Pennsylvania and an MBA from Yale University.******
Susan Lau, Senior Vice President
Susan is an analyst for the firm’s Long/Short strategies. Prior to joining the firm in 2008, she spent four years at Ampere Capital as a senior technology analyst. Susan was also a senior analyst for two years at Acharne Capital, after it was spun off by Intrepid Capital. Previously, she spent two years as an analyst with Intrepid Capital. Before joining the buy-side in 2000, she worked at Goldman Sachs for over three years in their Institutional Research Sales Division. Susan also served as a telecommunications analyst in their Information Technology Division. She earned a BS from Columbia University.******
Douglas J. Levine, CFA, Managing Director
Doug is lead portfolio manager of the firm’s new Small-Cap Growth initiative. He joined the firm in 2007 from Kern Capital Management, where he served as an analyst and member of the portfolio management team for small- and micro-cap growth stocks, including both traditional long-only and long/short portfolios. He has also served as an analyst on the buy/sell side at such firms as Highbridge Capital Management, Citadel Investment Group and Morgan Stanley with broad sector responsibilities, including information technology, business/consumer services, basic materials, industrials, power utilities/energy and financial services. Doug began his career as an auditor at Ernst & Young. He earned a BS from Penn State University and became a CPA in 1998.******
Anthea Mikstay, Senior Vice President
Anthea is the lead portfolio manager of large-cap accounts for the firm’s high-net-worth clients. In addition, she is a portfolio manager for Large-Cap Core accounts. Anthea joined the firm in 1997. She earned a BA from SUNY Buffalo.| Anthea Allen Mikstay | New York, NY | |
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-Lon F Mikstay 79 Somerset Rd; Hopewell Junction, NY 12533-3234 [40-44 / Anthea N Allen]
-Bank of New York, Manager Lon Mikstay 123 E Route 59; Nanuet, NY 10954-2911 (845) 623-0469
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Jelena Milinkovic, CFA, Senior Vice President
Jelena is lead portfolio manager for the firm’s Mid-Cap Value portfolios. She also serves as a member of the firm’s Proxy Committee. Prior to joining Rothschild Asset Management in 1999, Jelena worked for more than seven years at Rothschild Inc. as a fundamental energy analyst. She earned a BS from New York University.-Jelena M Milinkovic 300 E 71st St, Apt 6E; New York, NY 10021-5259 (212) 535-2704 [40-44 / Slava Milinkovic, Slavenka Milinkovic, Milorad R Milinkovic]
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Charles C. Moran, CFA, Vice President
Charlie is the lead portfolio manager for the firm’s Mid/Small-Cap portfolios. He joined Rothschild Asset Management in 2002. Prior to joining the firm, he worked as an analyst for 10 years at Value Line, four of which were in asset management. He earned a BS from Claremont-McKenna College and an MBA from New York University.******
Matthew Narlinger, CFA, Vice President
Matthew joined the firm in 2004 as a member of its Balanced team. He is responsible for the analysis and portfolio management of fixed income securities as well as working on asset allocation for balanced accounts. Previously, Matt worked in fixed income with KLS Professional Advisors Group for four years and spent two years as an analyst with Lehman Brothers. He earned a BBA from James Madison University.-Matthew P Narlinger 546 Frank Scott Ln; Rivervale, NJ 07675-6509 [35-39 / Lori J Narlinger]
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Tom Rawlings, Head of Investment Administration
Tom Rawlings, Managing Director, joined Rothschild Asset Management in 2009 as Head of Investment Administration with responsibility for the operations and administration of the firm’s institutional and wrap businesses. He previously worked as a member of the executive leadership team of O’Shaughnessy Asset Management. During his tenure, he was responsible for operations, technology, implementation and trading. In addition, he managed the transition of client accounts, as well as infrastructure build-out, required by O’Shaughnessy’s spin-off from Bear Stearns Asset Management, where he had handled similar duties as manager of that firm’s Systematic Equities group since November 2005. From December 1996 to October 2005, he held a number of positions such as portfolio manager, business/systems analyst and fund accountant at State Street Global Advisors. He earned an MBA from Boston University and a BS from the University of Massachusetts in Boston.******
Paul Roukis, CFA, Managing Director
Paul works with Chris Kaufman in managing the firm’s Large-Cap Value strategy. He also oversees the firm’s Large-Cap Value socially responsible portfolios and is a member of the firm’s Quantitative Committee. He has been with the firm for five years and has 18 years of industry experience. Prior to joining the firm in April 2005, Paul was a research analyst for more than 12 years with Sidoti & Company, Schroders, NatWest Securities and Value Line. He earned a BBA from Hofstra University. -Paul A Roukis 98 Exeter Rd; Massapequa, NY 11758-8165 [40-44 / Denise Z Roukis] Prior: Massapequa Park, NY (2010)
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John C. Thomas, Esq., Managing Director
John joined the firm in 2003 with responsibility for marketing and client service, primarily for Taft-Hartley funds. Previously, he was responsible for business development at Rorer Asset Management for seven years. He was of counsel to Willig, Williams & Davidson for six years and the standing arbitrator for the TVA. John was also a labor
