June 12, 2019
In accordance with the Bylaws, notice of the
Annual Meeting of the Members of CFA Society Los Angeles, Inc. to be held 6:30 PM PDT on Thursday, June 27th, at Union Station in Downtown, Los Angeles
is hereby given. The purpose of the meeting is to elect officers and members of the Board of Governors and to transact such other business that properly comes before the meeting. The meeting is open to all members of the Society and all non-retired regular members are eligible to vote.
The Nominating Commission, consisting of
Dan Pomerantz, CFA (Chair), Nathaniel Downes, CFA
James Lewis, CFA
Akiko Hayata, CFA, Thomas Mahoney, CFA (non-voting) and Laura Carney (non-voting)
hereby submits the following slate of candidates for officers and members of the Board of Governors for the fiscal year 2019-2020.
Tom Mahoney, CFA, CAIA
University of Wisconsin-Madison – BBA; Pepperdine University – MBA
Tom is a 32-year veteran of the financial services industry. After receiving his B.B.A. in finance from the University of Wisconsin-Madison, Tom earned an M.B.A. from Pepperdine University in California. In 2004, he moved his practice from Credit Suisse to UBS Private Wealth Management, successfully bringing all of his clients with him.
He completed the Private Equity and Venture Capital Program at Harvard Business School and teaches a class on Alternative Investments for the USC/CFALA CFA Review Program. In addition to the CFA charter, he holds the Chartered Alternative Investment Analyst (CAIA) designation. He is the Past President and Co-Founder of CAIA Los Angeles. Tom has been named to Forbes State-by-State list of Top Financial Advisors.
Tom serves on the Board of Directors and Finance Committee for The People Concern, one of LA’s largest nonprofit organizations that offers assistance, shelter and facilities to homeless individuals. An active scuba diver, Tom is a Divemaster and Certified Rescue Diver. He also enjoys skiing, hiking and playing chess. He and his wife have twin girls and live in Santa Monica.
Alicia Romo, CFA
University of Southern California – BS, Business Administration
Alicia Romo is the Managing Director and head of Investments and Short Term Funding for MUFG Union Bank, located in Los Angeles. Alicia manages the team that is in charge of all aspects of the bank’s investment portfolio including investment strategy, liquidity, capital, and regulatory requirements. She also supervises the short-term funding requirements of the bank.
Prior to joining MUFG Union Bank, Alicia was a Senior Manager at Deloitte & Touche, LLP where she was an SME in structured finance and interest rate risk management. Alicia consulted nationally for investment portfolio management, securitization structures and in front-office and back-office securitization and derivative operations. She was a regular speaker at national MBA and securitization conferences.
Prior to joining Deloitte in 1999, she was a First Vice President in the treasury department of Countrywide Home Loans handling funding, investments and derivatives. Alicia also spent 12 years in corporate banking with The Sumitomo Bank, CIBC and Bank of America, marketing various credit products, derivatives and securitizations.
Alicia received her BS in Business Administration from the University of Southern California. She was awarded her Chartered Financial Analyst designation in 1999.
James Lewis, CFA, CIPM
University of Oklahoma - BS, Mathematics; University of Southern California - MBA
James Lewis, is a Managing Director at TCW Group. Prior to joining TCW in 1999, Mr. Lewis was a Quantitative Analyst for Loomis, Sayles, & Company. Mr. Lewis received a BS in Mathematics from the University of Oklahoma and an MBA from the University of Southern California. He is a CFA® Charterholder, CIPM®
certificant, and member of the CFA Institute.
He is a past President CFA Society Los Angeles. Mr. Lewis is an instructor at Level III in the USC/CFALA CFA Review Program.
Alfredo Gomez, CFA, CAIA
Loyola Marymount University – BA, Business Administration and Economics
Alfredo Gomez has more than 15 years of financial experience, of which over a decade is in alternative investment due diligence. He leads initiatives in enhancing and developing adviser-focused research products for alternative investments, including interval and other closed-end funds, non-traded REITs, and non-traded BDCs. Prior to joining Snyder Kearney as Managing Director of Research, he served in various capacities at National Planning Holdings (NPH), an independent broker-dealer network, between January 2005 and February 2018; most recently he served as head of alternative investment research and due diligence. He was a registered representative and insurance agent from 2002 to 2004. He is a CFA and CAIA charterholder, and earned a B.A. in Business Administration and Economics from Loyola Marymount University.
Alfredo serves as the chair of the Alternative Investments Group for CFA Society Los Angeles and a Level II coordinator in the USC/CFALA CFA Review Program. He regularly serves as a mentor in the Financial Advisors Contest and Institute Research Challenge.
Immediate Past President
Akiko Hayata, CFA
Occidental College in Los Angeles, California – BA in Biochemistry
Akiko Hayata, CFA, is a senior vice president and manager of the foreign exchange execution desk at Payden & Rygel. She is responsible for implementing investment strategies and executing trades in currency markets. Hayata analyzes economic fundamentals in combination with technical and flow analysis to identify relative value opportunities. She monitors firm-wide currency exposures and performance attribution.
Akiko Hayata holds the Chartered Financial Analysts designation, and is a member of the CFA Society of Los Angeles and the CFA Institute. She received her BA in Biochemistry from Occidental College in Los Angeles, California.
Returning* Governor: 3-Year term expiring 2020
Andy B. Chong, CFA
University of California, Davis - BA
Andy Chong is a wealth and investment management professional with 20 years of industry experience. Andy was most recently a Senior Wealth Manager at BNY Mellon Wealth Management located in Los Angeles, California; working directly with high net worth individuals and families to address their investment and comprehensive wealth management needs. He worked closely with outside client advisors, such as tax professionals and family attorneys, to better serve his clients. Prior to BNY Mellon Wealth Management, Andy was a Vice President and Senior Portfolio Manager at Northern Trust. In addition, he was acting Senior Investment Officer for a regional team, responsible for supervising seven investment professionals across offices in Southern California, Arizona and Texas for Northern Trust. His previous experience includes relationship and portfolio management responsibilities servicing Ultra High Net Worth and Institutional clients at Kayne Anderson Rudnick and US Trust in Los Angeles.
Andy received his Bachelor of Arts from the University of California, Davis. He was awarded the Chartered Financial Analyst (CFA) designation in 2007 and is an active member of the CFA Society of Los Angeles (CFALA).
Returning* Governor: 3-Year term expiring 2020
Michael W. Tully, CFA, ASA
University of Southern California
Mike is a Principal in the Economic and Valuation Services practice of KPMG LLP and leads the Pacific Southwest Valuation Services group. He has more than twenty-three years of business/equity valuation, transactional, and financial and tax accounting experience.
Mike provides executive level expertise and execution oversight to valuation analyses of all size and complexity. He has been involved in major transactions for numerous Fortune 100, mid-market, and small-cap companies (domestically and globally). He has performed engagements related to the valuation of common stock, minority and majority business interests, privately held interest, intangible assets (particularly customer relationship and technology related), reporting units, debt instruments, preferred stock, and inventory. He has worked on engagements involving numerous industries, including aerospace/defense, engineering and construction, technology, health care, consumer products, and telecommunications.
Mike is a frequent speaker on fair value matters. He has presented on Fair Value, Business Combination, and other Financial and Tax Accounting valuation topics including to: (i) AICPA (including the AICPA SEC and PCAOB conference, Washington D.C.), (ii) SEC Institute, (iii) FEI, and (iv) American Society of Appraisers.
Mike served as the Valuation Fellow with the Financial Accounting Standards Board from 2007 to 2008. During his fellowship, Mike assisted the FASB with all matters related to fair value, business combinations, and impairment. Further, Mike formed and chaired the FASB’s Valuation Resource Group.
Currently, Mike serves on the AICPA’s Business Combinations Task Force which is developing best practice guidance for valuation and accounting.
Returning * Governor: 3-Year term expiring 2021
Chen Song, Ph.D., CFA
University of Chicago – Ph.D., Economics
Dr. Song is an economist, CFA charter holder, and expert witness. Since receiving her Ph.D. in economics from the University of Chicago, she has provided consulting and expert testimony in single-plaintiff, multiple-plaintiff, and class action litigations. Dr. Song has studied labor market definition and has applied techniques in statistics and econometrics to examine companies’ employment practices: hiring, pay, promotion, termination, reduction in force, executive compensation, and pension benefits. Additionally, Dr. Song has conducted pay equity studies to assist companies with identifying potential gender or minority pay gaps. Dr. Song’s extensive experience in securities class action litigation matters includes applying complex financial modeling tools, for example stock option valuation, Monte Carlo simulation, event-study in connection with alleged accounting fraud, damages calculations, stress testing, and regression analysis.
Dr. Song maintains a strong affiliation with the academic community. She taught courses on labor economics at the University of California, Irvine, and on financial institutions at California State University, Los Angeles. She currently teaches review courses on risk management for the USC/CFALA CFA Review Program.
Returning * Governor: 3-Year term expiring 2021
Eric Souders, CFA
California State University, Fullerton – BA, Business-Finance
Eric Souders is a Senior Vice President and Strategist on the global unconstrained fixed income team at Payden & Rygel. In this capacity, he is responsible for idea generation, implementation, and risk management. Prior to joining Payden & Rygel, Souders worked as a Portfolio Manager at Guggenheim Partners, focusing on multi-sector and structured product dedicated strategies. In addition, he worked as a Portfolio Manager at Blackrock, focusing on investment-grade corporate credit strategies. Previously, he worked at BNY Mellon in their Wealth Management division.
Eric Souders has been a member of the CFA Society of Los Angeles since 2009, where he has held roles as Social Chair (2011-2012), Co-Founder of the annual CFALA Golf Tournament (2012-Current), and instructor in the Level 1 USC/CFALA CFA Review Program.
Eric Souders holds the Chartered Financial Analyst designation. He earned a BA in Business-Finance, with Honors, at California State University, Fullerton.
Governor: 3-Year term expiring 2022
Peter Stutz, CFA
University of Illinois Urbana-Champaign - BS, Computer Science; University of Chicago - MBA
Peter Stutz is a Managing Director and Portfolio Manager at Guggenheim Partners in Santa Monica, CA, and has over 25 years of institutional investment industry experience as a fixed income analyst, trader, and portfolio manager. At Guggenheim he is responsible for the management of a variety of insurance company fixed income portfolios. He has also been a part of the firm’s Portfolio Construction Group where he was responsible for creating model portfolios for the firm’s core fixed income, multi-credit, multi-asset, and insurance strategies.
Prior to joining Guggenheim, Mr. Stutz was a Portfolio Manager at Western Asset Management where he was part of the generalist fixed income portfolio management team as well as a member of the firm’s Investment Advisory Committee. Mr. Stutz specialized in global interest rate and derivative strategies and was responsible for U.S. inflation-linked bond portfolios.
Mr. Stutz received his BS in computer science from the University of Illinois Urbana-Champaign, his MBA from the University of Chicago’s Booth School of Business and received the CFA® designation in 1996. Mr. Stutz is an instructor at Level II in the USC/CFALA CFA Review Program.
Governor: 3-Year term expiring 2022
Michael Treidl, CFA
Carnegie Mellon University - BS Physics; Crummer Graduate School of Business - MBA Finance
Michael Treidl is a Vice President in the asset allocation management group at Payden & Rygel. He serves on the committee that makes investment decisions for high net worth individuals and institutional clients using commingled investment vehicles.
Prior to joining Payden & Rygel, Michael worked at Capital Group and Morgan Stanley. He began his career working on the trading floor at Fannie Mae.
Michael is a member of the CFA® Institute and the CFA® Society of Los Angeles. He earned an MBA degree with an emphasis in Finance from the Crummer Graduate School of Business and a BS in Physics with a minor in Computer Science from Carnegie Mellon University.