ASSET MANAGEMENT AND PORTFOLIO MANAGEMENT | SEDA | Expert Witness Practice
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Skyscrapers and Sky
ASSET MANAGEMENT AND PORTFOLIO MANAGEMENT
Practice Area

Our experts bring deep experience managing assets across a wide range of fund types, including mutual funds, sovereign funds, fund of funds (FoF), hedge funds, credit opportunity funds, ERISA funds, real estate investment trusts (REITs), private funds, and both discretionary and non-discretionary managed funds and accounts.

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Our team has provided expert opinions on issues such as prudent investments, asset diversification, management and incentive fees, duties and responsibilities of investment managers, and fund compliance with investment objectives and governing documents. We also address representations to investors, fiduciary duties, and standards of care and loyalty.

With a strong focus on regulatory compliance, our experts possess in-depth knowledge of key regulations such as the Investment Advisers Act and the Investment Company Act, among others, particularly in connection with fiduciary and advisory duties and responsibilities.

SEDA experts have extensive experience responding to examinations and inquiries from regulatory bodies in the US, EU, EMEA, and APAC, working on cases involving hedge funds, private equity, venture funds, separately managed accounts, mutual funds, and ETFs, as well as large asset management and private equity firms.

In addition, SEDA experts have established or enhanced compliance programs for numerous registered investment advisers. They have drafted and implemented over a hundred compliance policies and procedures and developed numerous surveillance and reporting systems to support internal monitoring and fulfill regulatory and exchange requirements across multiple jurisdictions.



EXPERTISE

Registered Investment Advisers (RIA) Compliance and Investigations

Our experts possess extensive experience in assisting entities and individuals facing regulatory investigations from various authorities, including the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), among others.

We collaborate with clients in both consulting and litigation contexts, guiding them to comply with key rules applicable to registered investment advisers and funds, such as the Investment Advisers Act (IA Act) and the Investment Company Act (IC Act), enforced by the SEC. Our experts provide insights into fiduciary duties and best market practices for investment advisers, covering prudent investment, diversification, duty of care, best execution, and more.

ERISA Funds

Our experts have delivered written reports and testimony in multiple class action litigation cases filed by ERISA plan participants against investment advisers and asset managers for alleged breaches of fiduciary duty, lack of investment prudence, and misrepresentation in offering materials and governing documents. Given that ERISA funds are subject to stricter compliance requirements than other private funds, investment advisers and managers must handle these funds in strict adherence to the relevant rules and regulations.

Ponzi Schemes and Asset Misappropriation

SEDA Experts has provided expert opinions and testimony on disputes involving alleged misappropriation of assets and funds by asset managers and investment advisers, as well as on Ponzi schemes conducted by these professionals. Addressing such matters requires expertise in fund and asset management, including a clear understanding of roles and responsibilities across involved parties—such as custodians, sub-custodians, fund administrators, trustees, and prime brokers—and of complex fund structures, including master-feeder structures and fund flow dynamics. These cases also demand forensic and investigative analysis, which SEDA Experts is well-equipped to perform.

Asset and Portfolio Management (Sovereign Funds, Hedge Funds, Mutual Funds, Private Equity, and VC Funds)

Asset and portfolio management varies widely based on fund type and asset class. Our experts have managed all fund types across diverse asset classes. Different funds feature distinct structures, governance frameworks, risk profiles, and regulatory requirements, and our experts have navigated each while leading practices globally at prominent hedge funds, investment banks, broker-dealers, asset and portfolio managers, and private equity firms.

Wealth Management

Wealth management traditionally encompasses money management, financial planning, investment advice, estate planning, accounting, life insurance, retirement, and tax services. Our experts have overseen large wealth management funds and plans for both institutional clients and high-net-worth individuals.


RELATED EXPERTS

Richard A. Marin

Richard A. Marin

Bio

Managing Director

Richard Marin as a former finance senior executive with over 40 years of investment banking industry experience, and as a former clinical professor at Cornell University is a world class testifying expert in asset management, alternative investments, private equity investments, securities lending, retirement and pensions, and real estate / project financing.

Former 

Bear Stearns Asset Management - Chairman and CEO  Chairman and CEO 

Deutsche Asset Management - Chairman and CEO  Chairman and CEO

Expertise

Asset Management, Alternative Investments, Private Equity Investments, Securities Lending, Retirement and Pension, ERISA Funds Investment Standards, Real Estate / Project Financing

Joanne M. Hill

Joanne M. Hill

Bio

Managing Director

Joanne has over 30 years of experience in leadership roles in investment strategy at investment banks and asset managers with a focus on index and quantitative products, derivatives, along with volatility and risk management. She currently serves as Chief Advisor for Research and Strategy at Vest Financial, a fund manager, specializing in option-based investments.

Former 

ProShares - Head of Institutional Investment Strategy

CFA Institute Research Foundation - Chair and Board Member

Expertise

Investment Strategy EFTs Index and Quantitative Products Option-based Investments Volatility Risk Management Strategy

Natasha Kassian

Natasha Kassian

Bio

Managing Director

Natasha Kassian has over 30 years of buy-side experience providing legal and compliance guidance to registered investment advisers across a broad range of products, asset classes, investment strategies, and jurisdictions. She has served in roles including General Counsel and Chief Compliance Officer for firms that manage hedge funds, private equity funds, venture funds, retail and institutional separately managed accounts, mutual funds, and exchange-traded funds.

Former 

Citadel Americas LLC - Aptigon – Chief Compliance Officer

Millennium Management LLC – Global Head of Corporate and Regulatory Compliance

Expertise

Buy-Side Legal and Compliance, Regulatory Examinations, Inquiries and Investigations

Edward Baker

Edward Baker

Bio

Managing Director

Edward Baker has enjoyed a 40 plus year career in the investment management business, with a focus on ESG investing, quantitative investing and corporate governance. He is currently an advisor to climate change and extreme risk modelling firm Tipping Frontier.

Former

The Cambridge Strategy - Executive Chairman

Alliance Capital - CEO Alliance Capital UK, Director Emerging Markets Research, CIO Global Emerging Markets Equities

Expertise

ESG Investing, Corporate Governance, Quantitative Investing, Risk Management

James N. Lane

James N. Lane

Bio

Managing Director

Jim Lane has over 35 years of Wall Street experience as a private equity and investment professional. In his career Jim created and led two highly successful private equity firms. One of these groups, Goldman Sachs’ PIA, is now one of the largest alternative investment firms in the world and the second, SG Capital Partners, generated top quartile investment returns.

Former

Société Générale - Chairman & CEO, SG Capital Partners

Goldman Sachs - General Partner, Co-Head, Principal Investment Area (PIA)

Expertise

Private Equity, Alternative Investments, Corporate Finance

Robert Ohrenstein

Robert Ohrenstein

Bio

Senior Advisor

Robert Ohrenstein is a market-leading transaction adviser to private equity and similar investors. His career includes leadership roles at KPMG, where he served as Global Head of Private Equity and Vice Chair, as well as advisory positions in various commercial and charitable organizations.

Former

KPMG – Vice Chair, Global Head of Private Equity

Expertise

Private Equity Transactions, Pre-transaction Due Diligence, SPA Pricing Mechanics, Closing Accounts Disputes, Financial Reps and Warranties

Fred Brettschneider

Fred Brettschneider

Bio

Senior Advisor

Fred Brettschneider is a securitized products and asset-backed finance executive with over 30 years of experience at leading banks and asset managers. Mr. Brettschneider has a deep understanding of fixed income and equity instruments, with strong focus on Asset Backed Securities (ABS) and securitized products, acquired while heading equity/debt markets, and ABS trading and syndicate practices globally at large financial institutions. He also has broad experience across Investments, Risk Management, Valuations, and Compliance.

Former

LibreMax Capital - President

Deutsche Bank - Head of Global Markets Americas

Head of Institutional Client Group Americas

Head of ABS Trading and Syndicate


Expertise

Securitized Products, Fixed Income Sales and Trading, Debt Underwriting, Valuation / Risk Management, Asset Management

Neil Crowder, CFA

Neil Crowder, CFA

Bio

Managing Director

Neil Crowder (CFA), former Partner and Head of Investment Research at Goldman Sachs, is a recognized expert in global financial institutions with over 35 years of experience spanning the US, Europe, Asia, Africa, Latin America, and other emerging economies. He serves as a consultant to financial institutions, with extensive experience across public equity, private equity, and fixed income.

Former

Goldman Sachs - Managing Partner, Head of Investment Research

CBS Property Group - Chairman Of the Board

Chayton Capital LLP - Chief Executive Officer


Expertise

Investment Research, The European Banking Industry, Valuation of Banking Securities, Banking Mergers and Acquisition


Andrew Connell

Andrew Connell

Bio

Managing Director

Andrew Connell is a seasoned expert in asset management, strategic advice for investors, outcome-based investment strategies, as well as UK pensions and the investment industry. He has three decades of experience spanning accounting, investment management, and institutional consulting. His career has focused on supporting asset owners and their advisers, drawing on extensive experience in fund management to deliver outcome-based investment strategies which draw on multiple investment techniques, including liability-driven investment and derivative risk management strategies.

Former

Schroders Investment Management - Head of Schroders Solutions and Head of Portfolio Solutions

ABN AMRO Bank  - Interest Rate and Derivatives Sales Person

Barclay Global Investors - Head of Interest Rate Process and Multi Currency Portfolio Management

Expertise

Pension Plan Advisory, Liability-Driven Investment (LDI), Portfolio Solutions, Interest Rate and Derivatives Strategy


Eric Jacobs, CPA

Eric Jacobs, CPA

Bio

Managing Director

Eric Jacobs is a recognized expert in risk management, financial operations, and investment oversight, with nearly 30 years of leadership experience in the financial services industry. His career spans top-tier institutions on both the buy-side and sell-side, including alternative asset management, investment banking, and public accounting.

Former

King Street Capital Management - Director of Risk Management

Goldman Sachs - Vice-President, Finance Division

Expertise

Risk Management, Treasury & Liquidity Management, Accounting, Investment Operations

Alfred G. Jackson

Alfred G. Jackson

Bio

Managing Director

Alfred G. Jackson has over 40 years’ experience in financial markets where he was a leader in the field of equities research and valuation as well as Managing Partner in a successful Registered Investment Adviser (RIA). In his long career at Credit Suisse First Boston Mr. Jackson was consistently voted the #1 analyst for the food category.

Former

Credit Suisse First Boston - Global Head of Securities Research 

Expertise

Cash Equites, Equities Research, Valuation, Registered Investment Advisers

Trey Reik

Trey Reik

Bio

Managing Director

Trey Reik is a recognized expert on gold and global monetary policy, with nearly two decades of experience in gold-mining equity research and investment strategy. His work combines rigorous company-level analysis with a deep understanding of central bank policy, liquidity conditions, and the long-term drivers of gold demand.

Former

Sprott Asset Management USA, Inc.- Senior Portfolio Manager & Precious Metals Strategist

Bristol Investment Partners LLC - Managing Member, Chief Investment Officer, Portfolio Manager

Apogee Gold Fund LLC - Precious Metals Strategist

Expertise

Gold & Precious Metals Investment Strategy, Monetary Policy, Central Bank Dynamics, Equity Research & Valuation


Kurtis S. Plumer

Kurtis S. Plumer

Bio

Managing Director

Kurtis S. Plumer is a seasoned leveraged finance executive with over 30 years of experience in bankruptcy, restructuring and workouts. He has a deep expertise in managing investments across various asset classes, including leveraged loans, high-yield bonds, distressed debt and structured products. His career spans roles in credit portfolio management, distressed investing, and restructuring.

Former 

WhiteStar Asset Management – Managing Director Head of Restructuring and Workout

Highland Capital Management – Partner Portfolio Manager

Expertise

Restructuring Workout Private Credit CLOs High Yield Bonds Leveraged Loans Asset Management

George Lucaci

George Lucaci

Bio

Managing Director

George Lucaci is an expert in asset-gathering across the fund management industry including alternative investments. He presently serves as Global Head of Distribution for FolioBeyond having previously held leadership roles in the hedge fund and private equity industry after a long career in investment banking.

Former

Mercury Capital Advisors, LLC - Partner and Senior Advisor

Channel Capital - Senior Managing Director

Normandy Asset Management - Head of Risk Analysis

Expertise

Fixed Income, Asset Management, Capital Raising- Institutional and Retail, Hedge Funds, Private Equity, Non-Traditional Bond Funds


Ankur Keswani

Ankur Keswani

Bio

Managing Director

Ankur Keswani, former Head of Corporate Credit at Serengeti Asset Management, is a seasoned credit investor and portfolio manager with over twenty years of experience in high yield and distressed credit, special situations, bankruptcy and restructurings, and post-reorganization equity investing. Her expertise spans risk and portfolio management, credit research and trading, performing and non-performing debt, leveraged loans, corporate valuation, credit analysis, illiquid securities, and leveraged buyouts, as well as board of directors and officers’ duties.

Former

Serengeti Asset Management - Head of Corporate Credit & Senior Managing Director

Goldman Sachs - High Yield and Distressed Trader & High Yield Healthcare Research


Expertise

Portfolio and Risk Management, High Yield and Distressed Debt Research and Trading, Special Situations Investing, Performing and Non-performing Leveraged Loans, Credit Analysis/Corporate Valuation, Bankruptcy and Restructurings,  Leveraged Buyouts, Illiquid Securities

James O'Connor

James O'Connor

Bio

Senior Advisor

Mr. O’Connor has over 30 years of experience in global financial markets, with unique expertise in prime brokerage, inventory management, securities lending, repo, asset-based financing, and liquidity and counterparty risk management. His career spans senior leadership roles at major investment banks and asset managers across North America, Europe, and Asia.

Former

Aperture Investors LLC - President, Chief Operating Officer

Och-Ziff Capital Management - Head of Business Management, Head of Portfolio Finance

Goldman Sachs - Managing Director

Expertise

Prime Brokerage, Securities Lending & Repo Markets, Treasury Operations, Liquidity and Counterparty Risk Management, Inventory Management and Asset Financing

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