May 15, 2013 In accordance with the Bylaws, notice of the Annual Meeting of the Members of CFA Society Los Angeles, Inc. to be held 6:00 PM PDT on Wednesday, June 12, 2013, at The Petersen Museum, Los Angeles, CA 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 members are eligible to vote. The nominating committee, consisting of James Lewis, CFA (Chair), Roger Gewecke, CFA (Vice- Chair), CFA, Mark Harbour, CFA and Kerry Gawne Rapanot, CFA hereby submits the following slate of candidates for officers and members of the Board of Governors for the fiscal year 2013-2014. President A. Mark Harbour, CFA, CFP, CPA, CIMA University of Chicago MBA University of Oklahoma BBA Mark is a Senior Vice President of Wealth Management at Morgan Stanley Smith Barney. His professional role is senior integrated wealth manager to the high net worth and family office market segment where he serves as personal chief financial officer to individuals and families. He and his team provide or coordinate strategic planning and implementation services across a broad range of client needs directly or in active collaboration with other client advisor professionals. Such services include comprehensive wealth and cash flow analysis, income tax planning, estate planning, investment consulting, risk assessment oversight, philanthropic strategies, and executive compensation and benefit planning. Prior to Morgan Stanley Smith Barney, Mark was western regional director of wealth advisory services for Northern Trust Bank. Earlier firm affiliations include seven years with Ernst & Young, LLP, where Mark was the partner in charge of the financial planning and investment advisory services for Southern California, and eight years with Asset Management Group, where Mark managed the Chicago office of that firm. Mark is a member of the CFA Institute and the CFA Society of Los Angeles. He is past President of the Applied Behavioral Finance Group, an active community of interest of the CFA Society of Los Angeles. Other organizational affiliations include the Investment Management Consultants Association (IMCA), where Mark serves on the national Wealth Management Committee that oversees the certification program for private wealth advisors (CPWA). He is an instructor for the ethics portion of that curriculum. Vice President Kerry Gawne Rapanot, CFA Wilfrid Laurier University, Ontario, Canada, BBA Ms. Rapanot is Senior Vice President and Manager of the Low Duration trading group at Payden & Rygel. She is responsible for executing trades for various sectors across the shortend of the yield curve and assessing relative value for the firm s low duration strategies. Before joining Payden & Rygel, Kerry was part of the institutional fixed-income group at
Salomon Smith Barney where she sold bonds to institutional clients such as local governments and bank trust departments. Previously, she was with TD Waterhouse assisting high net worth clients with financial planning. Kerry is an active member of the CFA Society of Los Angeles, serving on the Board of Governors during the past five years. From 2006-2010 Kerry has been on the committee for the annual Economic & Market Forecasting Dinner and in 2011 took over as chair of the committee. She is recipient of the 2005-06 James H. Fletcher, CFALA Emerging Leadership Award and recipient of the 2009-10 CFALA Outstanding Society Member award. Treasurer Rama Malladi, CFA UCLA Anderson School of Management, Master of Business Administration Indian Institute of Technology, Master of Technology (Electrical Engineering) Rama Malladi, CFA, CAIA, FRM is a Partner and Vice President of Analytics at Kubera Investments. During the last 20 years of his career spanning USA, UK and Asia, he led groups focusing on the financial analytics, predictive analytics, corporate finance metrics, investments advisory and technology solutions. Rama has provided consultancy services to firms such as National Stock Exchange, Starbucks, Wachovia, Toyota Financial Services, IBM UK, Deloitte Consulting, Hewlett-Packard, Lockheed Martin, Tata Consultancy Services etc. Since 2005, Rama has served in various leadership positions at the CFA - Los Angeles, including the board of governors and several CFALA committees. He chairs the education committee, technology committee and co-chairs the alternative investments committee. He is also a director of the 9-week-long annual fixed income series that is conducted in the fall and alternative investments series conducted in the spring. Rama received CFALA's outstanding committee member award in year 2008. Rama Malladi holds the Chartered Financial Analyst, Chartered Alternative Investments Analyst and Financial Risk Manager designations. He earned an MBA from the UCLA Anderson School of Management and Masters in Electrical Engineering from the Indian Institute of Technology (IIT), Madras in India. In addition, he has Bachelors in Electrical Engineering with a first class distinction. Rama is pursuing his PhD studies in finance at EDHEC Business School in France, with an emphasis on alternative investments and risk management, and previously spent a year in the PhD finance program at the UCLA Anderson School of Management. He is on the finance faculty at California State University. Secretary Nathan Palmer, CFA New York University, MBA University of Washington, BA in Business Administration Nathan Palmer is a Vice President and Portfolio Manager at Wilshire Funds Management, where he is responsible for creating multi-asset class, multi-manager investment solutions to the advisory units of banks, insurance companies, asset managers and other financial intermediaries. Nate has over 15 years of investment experience, including investment consulting, pension & endowment management, and equity research. Prior to joining Wilshire, Nate provided investment advice to endowment, foundation and family office clients at Convergent Wealth Advisors. Previously, he managed the public market investment portfolios for the endowment at the California Institute of Technology (Caltech) and for the defined benefit and defined contribution retirement assets at Intel Corporation. Nate began
his career as a securities analyst in New York, where he published equity research on the technology, media and telecom industries. Nate graduated Phi Beta Kappa and Cum Laude from the University of Washington with a Bachelor of Arts degree in Business Administration in 1997. He received an MBA with High Distinction from the Leonard N. Stern School of Business at New York University in 2005, graduating as an Armando John Garville Memorial Scholar. Nate has held the Chartered Financial Analyst (CFA) designation since 2007 and is an active member of both the CFA Institute and the CFA Society of Los Angeles, where he currently serves as the Director of Programming. Past President Roger L. Gewecke Jr., CFA University of Southern California, BS Mr. Gewecke is a Principal at Clifford Swan Investment Counsel. He is an investment counselor and also serves on the firm s research and investment team. He was a Vice President at Philip V. Swan Associates, where he served as portfolio manager and director of research before the firm combined with Clifford Associates. Roger was a Vice President with Mellon subsequent to its acquisition of Van Deventer & Hoch, where he was a partner. From 1983-1998 he was a member of the Pacific Stock Exchange, where he served as specialist. He also is a coordinator in the USC/CFALA CFA Review program and is an instructor at Level III. Returning* Governor: 3-Year term expiring 2014 Monica R. Erickson, CFA University of Southern California, Summa Cum Laude, BS in Business/Finance Ms. Erickson is Co-Portfolio Manager and Senior Credit Analyst of Global Developed Credit at DoubleLine Capital. She joined the firm at its inception in 2009. She is involved in portfolio management and analysis of specific sectors in the corporate portfolios. She is also responsible for the decision making in convertible security allocation. She joined DoubleLine with over seventeen years of investment experience. Since 2007 and prior to DoubleLine, Ms. Erickson was a Vice President at TCW, working in their Corporate Bond Group providing value-added research. Before TCW, she was a Vice President at Froley Revy Investment Company for over fifteen years. Her primary role at Froley was as an analyst for certain sectors in the convertible universe. Ms. Erickson received her CFA charter in 1997. She has been an active volunteer for CFALA; speaking at the Annual Career Development Expo in 2011 and chairing the Charter Awards Luncheon in 2009, 2010 and 2011. Returning* Governor: 3-Year term expiring 2014 Alejandra Folguera, Ph. D., CFA University of Illinois, PHD, Mathematics. Universidad de Buenos Aires, Argentina, Lic in Mathematics Dr. Folguera is a principal and CIO of Miltonian Capital Management, LLC, an investor advisor firm that designs and manages customized fixed income and equity portfolios for high net worth individuals. Miltonian Capital adheres to a value-oriented investment philosophy with focus on total return. Prior to Miltonian, Dr. Folguera was a Senior Research Analyst at Pacificor LLC and an analyst at Partnervest Advisory Services, LLC. Before joining the financial world, Dr. Folguera was engaged in teaching and research in applied mathematics at
the University of Illinois at Urbana-Champaign, and at the University of California, Santa Barbara. Dr. Folguera is a founder and organizer of the CFALA Santa Barbara Group. She is also a member the American Society of Women Accountants and 100 Women in Hedgefunds. Returning* Governor: 3-Year term expiring 2015 Dan Pomerantz, CFA University of California, Los Angeles, BS, MBA and MS in Civil Engineering Dan Pomerantz is a Principal and Senior Client Advisor at Bessemer Trust. Prior to joining the firm, he was a Senior Portfolio Manager and Vice President at the Northern Trust Company for eight years. Dan has more than 15 years of experience in the investment management and financial industries. He also worked as a Civil Engineer for eight years and holds a professional engineer license in the state of California. Mr. Pomerantz has a long affiliation with CFALA. He is currently the chair of the Advocacy and Ethics Committee. He is also an instructor in the USC/CFALA Review Program and from 2010 to 2012 he was the President of the Applied Behavioral Finance Group. Dan is a CFA Charterholder and a Certified Financial Planner, CFP. He has an MBA from the Anderson School of Management at UCLA and bachelor s and master s degrees in civil engineering from UCLA. Governor: 2-Year term expiring 2015 Christopher Luck, CFA University of California, Berkeley, MBA College of the Holy Cross, Summa Cum Laude, BA in Economics Christopher G. Luck, CFA is President of Luck Partners Consulting, which specializes in providing investment solutions for money management firms. The firm specializes in providing quantitative expertise in taxable and socially responsible investing. Prior to the founding of Luck Partners Consulting, Christopher was a Partner at First Quadrant, L.P., a quantitative money management firm in Pasadena, CA. He was employed at First Quadrant from 1995 to 2010, and managed the Equity Portfolio Management group, which was responsible for $6 billion in U.S. and international equities. Before joining First Quadrant, Christopher spent eight years at BARRA. He has published a number of articles in various journals, including research on socially responsible investing, international diversification, style management, and taxefficient investing. Christopher received his MBA from the University of California, Berkeley in 1988 with an emphasis in Finance and graduated summa cum laude with a B.A. in Economics from the College of the Holy Cross in Worcester, Massachusetts. Christopher is a Chartered Financial Analyst, and teaches several subjects for the Los Angeles CFA Society review course for Level III. Governor: 3-Year term expiring 2016 Nathaniel Ned Downes, CFA, FRM Pepperdine University, Masters of Business Administration University of California, Berkeley, Bachelor of Architecture Mr. Downes is an investment associate at UBS Financial Services, where his team is one of the largest discretionary asset managers in the nation. He helps manage equity and fixed income mandates for high net worth individuals, and is primarily focused on research and
trading. Among his earlier positions, he supported Fortune 500 clients with portfolio accounting and software solutions. Ned received his MBA from Pepperdine University and a Bachelor of Architecture degree from the University of California, Berkeley. He holds the Chartered Financial Analyst (CFA) and Financial Risk Manager (FRM) designations, and is an active volunteer with CFA Institute and the CFA Society of Los Angeles, where he currently chairs the investment research challenge. He also judges the annual ACG Cup, a business valuation competition, and is a proctor for the Mensa entrance exams. Governor: 3-Year term expiring 2016 Stephanie Luh, CFA Wellesley College, BA in Mathematics Columbia University, MS in Operations Research Stephanie Luh is Vice President and Assistant Portfolio Manager at Tradewinds Global Investors in Century City. She joined the international equity firm in 2008 and is responsible for assisting portfolio managers on several of the firm's strategies. Prior to Tradewinds, she worked in Client Service Analytics at Western Asset Management. She and her team were responsible for providing quantitative and analytical fixed income support to global client service and marketing executives. She began her career at Kayne Anderson Rudnick as an intern on the Small-Mid Cap research team. Ms. Luh received her charter in 2009. She has been an active volunteer for CFALA, founding and chairing the society's Women's Group, speaking as a panelist at the Annual Career Development Expo in 2012, working at the CFALA Golf Tournament, and volunteering as a mentor for Level One candidates. She is an active alum at Wellesley College, participating in various regional and class leadership positions. All members of CFALA are encouraged to attend the Annual Meeting of the Members of the Corporation. Members who are not able to attend the Annual Meeting may be represented by proxy. Proxies must be in writing and filed with the Secretary of the Corporation before being voted. Proxy Voting Form (Link) Very truly yours, /s/ Roger Gewecke, CFA President /s/ Rama Malladi, CFA Secretary *Returning Governors not up for reelection.