Phalanx

Capital Management, LLC

Chief Investment Officer

Christopher S. McGuire, Managing Member, Chief Investment Officer manages the trading of the Japanese and Asian portfolio. Prior to launching Phalanx, he managed the Japanese multi-strategy portfolio for Daiwa Securities America. He joined Daiwa from Goldman Sachs where he ran Japanese and Asian relative value trading for the Spear, Leeds & Kellogg division. Prior to "SLK" he was in charge of trading and managing the Japanese convertible bond portfolio for Marin Capital Partners. His prior experiences include managing hedge fund sales for the convertible bond and equity divisions for Merrill Lynch - London, managing convertible bond sales for SBC Warburg-Tokyo, overnight relative value equity sales for BZW Securities, and trading commodity options for his own account on the floor of the Chicago Board of Trade. Chris graduated with a Bachelor of Arts in Communications from Marquette University in 1991.

Chief Financial Officer

As CFO at Phalanx Capital Management, Mike manages the firm’s accounting and financial activities, daily workflow, investor reporting, and annual financial audits. He oversees company policies and procedures to ensure maximum efficiency and quality.Before joining Phalanx, Mike was the Chief Operating Officer of Ryan Business and Technology Solutions. In this role he was responsible for the day-to-day management of the firm including scheduling consultants for client work and managing the software development process. Mike previously served as Managing Director at Conifer Fund Solutions where he created an outsourced middle office practice focusing on funds-of-funds with internal trading departments. Prior to Conifer he spent 22 years at Fischer Francis Trees & Watts, the last 16 as the Head of Global Operations. Mike was a founding member of the Asset Managers Forum in 1998 and served as Chairman of the organization from 2000-2001. He has a BBA in Accounting from the University of Notre Dame and an MBA in Finance from New York University.

Chief Financial Officer

As CFO, Brooke Gottshall oversees the firm's accounting and financial activities. Brooke brings to Phalanx broad capital markets experience ranging from derivatives trading to valuation and accounting control. In his prior experience, Brooke traded derivatives on the floor of the Chicago Board of Trade and the Chicago Board Options Exchange as well as managed Bank One’s Equity and Commodity Middle Offices. Later, he became the Controller for Citigroup’s Loan Syndication, Equity Syndication and Private Equity groups. In the hedge fund space, Brooke has also held a senior position with a fund administrator. Brooke graduated with a B.S in Finance from The Pennsylvania State University and holds an M.B.A. from Villanova University. He is a Chartered Financial Analyst and Certified Public Accountant. Brooke served in the military for over eleven years in both the US Air Force and Pennsylvania Army National Guard.

Senior Portfolio Strategist

Masa provides trading ideas and works in tandem with the CIO on the construction, sizing, and scope of the portfolio. His responsibilities also include presenting in-depth analysis on the market scenarios and security valuation to the Investment Team. Masa works from Phalanx’s Hong Kong office. Before joining Phalanx, Masa covered Korea, Taiwan, India, and Southeast Asia for JP Morgan Chase’s equity derivatives trading group. He also managed the Japanese convertible bond and equity derivatives portfolio for Atma Capital Management in Singapore. Prior to this he was trading US listed derivatives for UBS in Stamford, CT. Masa started his career trading Japanese convertible bonds and equity derivatives for UBS in Tokyo. Masa graduated with a Bachelor of Arts in Economics from Yale University in 2001.

Chief Operating Officer

Greg oversees all business functions of Phalanx as Chief Operating Officer. His responsibilities include the analysis of all company policies and procedures to ensure maximum efficiency and quality; daily review of trade blotters and NAV calculations; and managing database functionality. Since entering the industry in 1993, he has served as COO or CFO of four managers and assisted several with other launches. His first CFO role was with Marin Capital Partners, a multi-billion dollar convertible arbitrage fund. Most recently, Greg spent two years as the COO of a large, Japanese "friendly" activist firm, Taiyo Pacific Partners, LP. In between, he has also had exposure to long / short equity and multi-strategy platforms. His early career was in Tax, at Ernst & Young. Greg graduated with a BA in Economics from the University of Colorado in 1988 and holds an M.B.A. from UC- Davis.

Chief Risk Officer

Oleg is responsible for implementation of the risk management framework across all functional lines at Phalanx. As Chairman of the risk committee, his duties include monitoring and managing risk exposures and ensuring that portfolio risk configuration and individual position sizing are consistent with overall investment objectives, related limits, and guidelines. Additionally, he oversees implementation of investment and risk analytics, and related technologies. Oleg brings 17 years of experience in the asset management and investment banking industries, having served as a Chief Risk Officer and Head of Risk Management for several multi-billion dollar global investment firms, including Attalus Capital, VARA Capital, Alexandra Investment Management, Ritchie Capital, and UBS Global Asset Management. Most recently, he served as CEO of Kameosa Capital. Oleg graduated from Kharkov State University, Ukraine in 1994 with a MS degree in Applied Mathematics and Physics. He also earned a MS degree in Financial Mathematics and a MBA in Analytic Finance, both from the University of Chicago. Oleg holds the CFA designation.

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