NWQ’s research process is an iterative, collaborative and dynamic process whose basic tenets are steeped within a framework based upon a fundamental, bottom-up analysis. We believe the value of our offering comes from the collective wisdom of our investment professionals and the collaborative atmosphere which seeks to yield the very best choice, on a risk adjusted basis.
How does one assess the effectiveness of a team? Clearly investment performance provides one indication. However, performance alone may not be an effective harbinger of a client’s experience. Rather, understanding the primary tools which are used to derive performance, notably the combination of a seasoned investment team, may provide more informative insight.
See how our team’s average 20+ years of experience translates into identifying investment opportunities.
Prior to joining NWQ, John was the Managing Partner of Tano Resource Management. Previously, he spent 5 years with Robertson Stephens where he was first Chief Operating Officer and then President and CEO. Before that, John worked at Credit Suisse First Boston for 15 years where he held various management positions around the world including Co-Head of European Equities, Co-Head of Emerging Markets, Director of European Equity Research and Co-Head of U.S. Institutional Sales.
John graduated from the University of Rochester with a B.A. in Economics, and received his M.B.A. from the University of Michigan in Ann Arbor. John serves on the Board of Pope Resources (NASDAQ: POPE), the Executive Board of Victory Park Capital, the Corporate Advisory Board of the University of Michigan School of Business, and the University of Rochester Endowment Investment Committee.
Prior to joining NWQ in 1996, Jon spent 10 years with ARCO Investment Management Company where, in addition to managing a value-oriented fund, he was the Director of Equity Research. Previously, he spent four years with ARCO in Corporate Finance.
Jon received his B.A. in Economics from Washington University, St. Louis, where he was awarded the John M. Olin Award for excellence in economics, and graduated summa cum laude. He received his M.B.A. from the Wharton Business School, University of Pennsylvania. In addition, he received his Chartered Financial Analyst designation in 1992 and is a member of the CFA Institute and the Los Angeles Society of Financial Analysts.
Prior to joining NWQ in 1990, Phyllis held the position of Vice President and Senior Portfolio Manager with The Boston Company where she managed institutional portfolios for three years. Previous to this, she spent seven years at Beneficial Standard Investment Management Company as a Senior Portfolio Manager for the company’s equity funds and outside advisory accounts.
Phyllis graduated from Northern Illinois University and received her M.B.A. from the University of California at Los Angeles. She earned the designation of Chartered Financial Analyst in 1979. Phyllis is a past president of the Los Angeles Society of Financial Analysts, co-chairman of the FIM-West Conference and past chairman of the Long Range Planning Committee. She is also a member of the CFA Institute.
Prior to re-joining NWQ in 2016, Peter was a portfolio manager and a consumer durables analyst at Nuveen affiliate Tradewinds Global Investors, LLC. Prior to that, he was an international equity analyst for several years here at NWQ. Before joining us, he was a senior analyst with USAA Investment Management where he covered global automobiles, pharmaceuticals, and semiconductors, and a sell-side analyst at UBS Warburg, where he followed the automobile and auto parts industries in North America, Japan, and Asia.
Peter received his B.A. degree in Economics from Willamette University and M.S. in International Management from Garvin School of International Management (Thunderbird). Peter has been highly ranked as an analyst in the surveys of Greenwich Associates, Institutional Investor magazine, and by Nihon Keizai Shimbun (Nikkei) newspaper. He is fluent in Japanese.
Prior to joining NWQ in 2006, Susi was Portfolio Manager for China Life Insurance Company, Ltd. in Taiwan where she managed multi-sector and multi-currency fixed income portfolios with responsibility for over $1.8 billion in assets under management. Prior to that, she was a currency exchange associate at Fleet National Bank in Singapore covering Asian, Euro, UK, and other major currencies.
Susi earned her bachelor's degree in Finance from the University of British Columbia and holds an M.B.A. from the University of Southern California. She earned her Chartered Financial Analyst designation from the CFA Institute in 2006 and is a member of the Los Angeles Society of Financial Analysts. She also earned her Financial Risk Manager designation in 2003.
Prior to joining NWQ in 2016, Jae was an information technology analyst at Nuveen affiliate Tradewinds Global Investors, LLC. Prior to that, Jae was a senior consultant with BCG ValueScience, where he assisted the clientele of Boston Consulting Group in assessing and valuing strategic corporate actions including acquisitions, divestitures, capital structure changes, and operational changes. Jae also has investment banking experience and served as an analyst with JPMorgan covering the consumer/retail sector.
Jae graduated from Claremont McKenna College with a B.A. in Economics. He received his M.B.A. in Finance and Economics from the University of Chicago Booth School of Business. In addition, he has received the Chartered Financial Analyst designation and is a member of the CFA Institute and the CFA Society of Los Angeles. Jae is fluent in Korean.
Prior to joining NWQ in 1998, Andy spent three years with InterGlobal Financial Corporation, a boutique futures dealer, where he headed research and trading strategies. Previous to this, Andy spent two years as a Senior Account Executive for individual futures clients.
Andy graduated from the University of California, Los Angeles with a B.A. in Economics/International Area Studies, and received his M.B.A. in Finance at the Marshall School of Business at the University of Southern California.
Prior to joining NWQ in 2011, Tom spent four years at Relational Investors, LLC where he was a Managing Director responsible for coverage of the technology industry. Previously, Tom was a Partner and Analyst at Harlingwood Capital Management. Prior to that, he spent two years at JMP Securities, LLC as a Vice-President and three years at Robertson Stephens, Inc. where he held various positions in investment banking and equity research.
Tom received his B.A. in Economics from the University of California, Berkeley. In addition, he earned the designation of Chartered Financial Analyst in 2004 and is a member of the CFA Institute and the CFA Society of Los Angeles.
Prior to joining NWQ in 2016, Cindy spent 10 years at Franklin Templeton Investments where she was an Equity Research Analyst responsible for coverage of many industries within the Consumer Discretionary Sector and an Assistant Portfolio Manager on the Franklin Small-Mid Cap Growth Fund.
Cindy graduated from Stanford University with a B.A. in Public Policy with an emphasis in Business Policy. She holds the Chartered Financial Analyst designation and is a member of the CFA Institute.
Prior to joining NWQ in 2015, Steve was a Portfolio Risk Manager at Ares Management, L.P. where he was principally responsible for building and implementing a risk system to conduct sensitivity analysis and quantify Value at Risk. Before Ares, he was a Capital Structure Analyst at Greenbelt Capital Management, LLC. Prior to that, Steve was a Fixed Income Financial Analyst at Inflective Asset Management, LLC, where he lead research coverage of the industrial, real estate, consumer discretionary, and financial sectors. Steve began his career at Pacific Investment Management Company as a Trading Assistant.
Steve earned his B.S. degree in Economics with Financial Applications from Southern Methodist University.
Prior to joining NWQ in 1985, Marty spent close to five years with First Manhattan Company in New York where he was a member of a group managing portfolios for high net-worth individuals, as well as ERISA and endowment funds.
Marty graduated from Yeshiva University in New York and received his M.B.A. from Bernard Baruch College of the City University of New York.
Tom began working in the financial services industry in 1991 and is currently Managing Director and Head of Fixed Income at NWQ. Prior to joining NWQ, he most recently served as Chief Investment Officer, President and founding member of Inflective Asset Management, a boutique investment firm specializing in convertible securities. Prior to founding Inflective, Tom also served as portfolio manager at Transamerica Investment Management.
Tom graduated from University of Wisconsin with a B.B.A in Finance, Investment & Banking and an M.S. in Finance. He holds the Chartered Financial Analyst designation and is a member of the CFA Institute.
Prior to joining NWQ in 2013, Jujhar was a Senior Equity Analyst at Santander Asset Management in London, England where he was responsible for coverage of the financials industry. Previous to this, he was the Global Banks Analyst at M&G Investments. Prior to that, he spent three years as an Assurance Executive at PricewaterhouseCoopers, London within the firm’s Banking and Capital Markets division.
Jujhar received his B.A. in Mathematics and Computation from the University of Oxford and his M.Sc. in Vision, Imaging and Virtual Environments from University College London. In addition, while at PricewaterhouseCoopers, he earned the designation of Associate Chartered Accountant (ACA) from The Institute of Chartered Accountants in England and Wales in 2007.
Prior to joining NWQ in 2006, Jim spent seven years at Bel Air Investment Advisors, LLC, formerly a State Street Global Advisors Company, where he was a Managing Director and Partner. Most recently, Jim was Chairman of the firm’s Equity Policy Committee and the Portfolio Manager for Bel Air’s Large Cap Core and Select strategies. Previous to this, he spent five years as an Analyst and Portfolio Manager at ARCO Investment Management Company. Prior to that, he was an Equity Analyst at Trust Company of the West.
Jim received his B.B.A. and M.S. in Business from the University of Wisconsin-Madison, where he participated in the Applied Security Analysis Program. In addition, he earned the designation of Chartered Financial Analyst in 1993 and is a member of the CFA Institute and the Los Angeles Society of Financial Analysts.
Prior to joining NWQ in 2001, Gregg spent two years at Sturdivant & Company, a value-oriented institutional money manager. Previous to this, he held the position of Vice President and Senior Analyst at Federated Investors, where he also served as Director of Equity Research. Prior to that, he was a Senior Analyst at First Chicago Investment Management Company.
Gregg received his A.B. in Economics and Psychology from Duke University and his M.B.A. with high distinction from the University of Michigan. In addition, he earned the designation of Chartered Financial Analyst in 1998.
Prior to joining NWQ in 2016, Ray was deputy director of research, a portfolio manager and a financials analyst at Nuveen affiliate Tradewinds Global Investors, LLC. Prior to this, Ray worked at Pembroke Capital Management LLP, a market-neutral global equities firm in London where he was responsible for the firm’s global financial services holdings. Ray began his career with Northern Trust Global Investments in Chicago as an analyst in the institutional marketing division and subsequently as an associate on the large cap equities team.
Ray earned his bachelor’s degree in Accountancy and Economics from the University of Notre Dame. He later attended London School of Economics, earning an MSC, with merit, in Finance and Accounting. Ray holds the Chartered Financial Analyst designation and is a Certified Public Accountant.
George oversees NWQ’s global business development efforts. Prior to joining the firm, George was a Managing Director for Nuveen Investments, where he performed a similar role in co-managing the institutional marketing effort and helped develop the Institutional Services Group. He previously served as a pension consultant with State Street Bank & Trust, where he advised large clients on the design, implementation, monitoring, and evaluation of institutional investment programs, while managing a team of analysts supporting the process. George has also held senior marketing positions at Fidelity Management Trust Company, Northern Trust Global Investors, and Aetna Capital Management.
George earned his bachelor's degree in economics & history from Tulane University and holds an MBA in finance & marketing from the Kellogg School of Management of Northwestern University. He is a member of CFA Institute and the Boston Security Analysts Society and serves on the board of the Hale Reservation, a not-for-profit in the Boston area.
Prior to joining NWQ in 2016, Erika spent nine years at DDJ Capital Management, LLC as a Director in the Business Development Group where she was focused on U.S.-based consulting firms and direct sales spanning multiple channels and products across the institutional space. Prior to that, Erika spent two years as a compliance analyst at Fidelity Investments in Boston.
Erika received an M.A. from the University of Miami in Public Relations and a B.S. in Finance from Syracuse University.
Helen is responsible for NWQ’s distribution effort outside of the U.S.*
Before joining NWQ in 2010, Helen spent five years with State Street Global Advisors consultant relations teams in both the U.K. and the U.S. Prior to that, Helen worked providing master custody services to some of the world’s largest institutional clients at The Bank of New York in London and in Singapore.
Helen graduated with a BSc (Hons) in Economics from the University of Southampton.
* Ms. Barber is an employee of Nuveen Global Investments Limited and supports NWQ.
Prior to joining NWQ in 2010, Anita spent 20 years at Dimensional Fund Advisors where her last position was as a marketing officer in the institutional client services group. Prior to that she worked as the conference administrator at the Center for Legal Studies on Intergovernmental Relations at Tulane University Law School. She is an executive member of the Board of Directors of the Will Geer Theatricum Botanicum.
Anita received her B.A. in Political Science from Newcomb College of Tulane University.
Prior to joining NWQ in 2007, Chip served 10 years as Managing Principal of Westbourne Capital Management, LLC, a registered investment adviser he founded in 1997. At Westbourne, he managed separate investment portfolios for individuals, families, corporate pension funds, and eleemosynary accounts. Prior to that, Chip spent 14 years with Trust Company of the West. During this time, he was an Equity Analyst following the Food, Beverage, Tobacco, Auto, and Auto Parts Industries. He served as Assistant Director of Equity Research. He concluded his tenure at TCW as Managing Director, U.S. Equities, where he managed a concentrated large-capitalization equity portfolio strategy.
Chip graduated from the University of California, Los Angeles with a B.A. in History. He received his M.B.A. in Finance and Environmental Policy from the Kellogg School of Management at Northwestern University.
Prior to joining NWQ in 2011, Dan spent six years in manager research at Arnerich Massena, Inc., most recently as their Director of Traditional Investments. Previous to that, he was at HighMark Capital Management, where he served as a Vice President and Equity Analyst covering technology, media and telecommunication companies. Before that, Dan was an Equity Research Associate at Banc of America Securities responsible for covering companies within the PC, enterprise hardware, storage, and IT distribution industries. Prior to that, he was a Portfolio Manager at Robert Osher & Company and Jess S. Morgan & Company.
Dan graduated from the University of Pennsylvania with a B.S. in Economics, and received his M.B.A. from the University of California, Los Angeles. In addition, he earned the designation of Chartered Financial Analyst in 1997 and is a member of the CFA Institute.
Prior to re-joining NWQ in 2013, Jim was a Managing Director and Portfolio Advisor for Nuveen Investments, where he advised clients and their consultants concerning portfolio strategy and performance. Prior to that, Jim was one of the original partners of NWQ and spent 20 years with the firm. Before joining NWQ , he managed a venture capital fund for four years and was a Partner and Portfolio Manager with the investment management firm of Stephenson and Company in Denver for nine years.
Jim earned his B.S. in Business Administration degree in Finance and Economics from the University of Denver. He also studied Economics at the University of Stockholm, earned the designation of Chartered Financial Analyst and is a member of the CFA Institute. He has served on several boards including the Money Management Institute and the Association for Small Foundations.
Prior to joining NWQ in 2014, Carl worked as a Financial Representative at a national broker-dealer focusing on wealth management, financial, and estate planning.
Carl received his B.S. in Business Administration from Pepperdine University, Malibu. Carl holds the Chartered Alternative Investment Analyst designation from the CAIA Association.
Prior to joining NWQ in 2013, Tony was a Managing Director and Portfolio Advisor for Nuveen Investments, where he advised clients and their consultants concerning portfolio strategy and performance. He previously spent twenty-one years at Babson Capital Management (MassMutual Financial Group), where he was lead portfolio manager of their large cap value funds, director of research, and an analyst. Tony began his career as an analyst in the trust division of Connecticut National Bank.
Tony earned his bachelor’s degree in English from Colby College, a PhD in English from the University of Chicago, and an MBA from Rensselaer Polytechnic Institute. He earned the Chartered Financial Analyst designation in 1988 and serves on the Editorial Board of the CFA Digest. He holds the FINRA Series 7 and 66 registrations.
Prior to joining NWQ in 2001, Mark held the position of Director and Portfolio Manager with Merrill Lynch Investment Managers where he managed value-oriented institutional portfolios for three years. Previous to this, he spent seven years at Trust Company of the West as a Senior Vice President and Analyst, covering primarily technology companies. Previously, he was Vice President at Hanifen Imhoff Inc., where he served as the firm's Technology Analyst. Before entering the investment business, Mark held positions in the computer design field with NCR and Gould Electronics.
Mark earned his Bachelor of Science degree in Computer Science from California State University, Chico. He received his Master of Science degree in Electrical & Computer Engineering from the University of California, Santa Barbara, and his M.B.A. from the University of San Diego.
Prior to joining NWQ, Norma was an intern at Merrill Lynch’s Global Private Client group. In this role, she assisted senior executives in financial planning analysis and business development.
Norma earned a B.S. in Business Administration with concentrations in Finance and Real Estate from California State University Northridge and an M.B.A. from Mount St. Mary’s University.
Prior to re-joining NWQ in 2016, Michael was an investment strategist and client portfolio manager for Nuveen affiliate Tradewinds Global Investors, LLC. Prior to that, he was a client portfolio manager here at NWQ. Before joining us, Michael worked as an international and global equity analyst at Merrill Lynch, as an equity strategist at Commerzbank Securities and also has several years of industry experience working outside of the United States.
Michael graduated from the University of East Anglia in the U.K., with a B.S. in Mathematics with Economics. He received his M.B.A. with distinction from Warwick Business School. He earned his Chartered Financial Analyst designation and is a member of the CFA Institute.
Prior to joining NWQ in 2002, Kirk held the position of Senior Equity Trader with CapitalWorks Investment Partners where he was in charge of implementing trading strategy for the firm's traditional hedge product, as well as a small cap and mid cap growth product. Previous to this, he spent 3 years at Brandes Investment Partners as the Institutional Trading Manager where he was responsible for the firm's global execution facility with additional oversight of the retail private client, wrap-fee, and foreign exchange trading desks. Before joining Brandes, he was a trader of both domestic and international equities with Nicholas-Applegate Capital Management. Prior to that, he was an investment analyst for Triad Financial Group, a commercial real estate investment firm, and also previously was an associate research analyst with Lehman Brothers.
Kirk graduated from San Diego State University with a B.S. in Finance.
Prior to joining NWQ in 2005, Sean spent five years as Head Trader for a traditional hedge fund called CapitalWorks Investment Partners. Prior to this he was a trader at a global value manager called Brandes Investment Partners and a global growth advisor of Nicholas-Applegate Capital Management in San Diego.
Sean received his B.S. in Finance and Marketing through the Carlson School of Management at the University of Minnesota, Minneapolis.
Prior to joining NWQ, Greg held the position of investment-grade Analyst at Nuveen Asset Management, where he was also responsible for trading investment-grade and high-yield fixed-income. Prior to joining Nuveen Asset Management in 2007, he worked as a portfolio manager at City National Asset Management where he was responsible for credit research and managing intermediate government/credit and money market portfolios. Prior to that, he worked as a portfolio manager at both U.S. Trust and Banc of America Capital Management managing both institutional and retail accounts.
Greg earned an MBA from the Anderson School at UCLA with a concentration in Finance and a BA in Economics from Washington University in St. Louis. He is a member of the CFA Society of Los Angeles and the CFA Institute.
Prior to joining Nuveen Investments in 2008, Avi spent almost 9 years with Neuberger Berman/Lehman Brothers, ultimately serving as Deputy General Counsel for Neuberger Berman. Before that, Avi worked at Goldman Sachs Asset Management, Singer Zamansky, LLP, and the National Association of Securities Dealers, holding various senior legal and compliance positions.
Avi received his B.A. in Accounting from Queens College, and received his J.D. from St. Johns University School of Law. He is a member of the Securities Industry and Financial Markets Association, the New York County Lawyers Association and the State Bar of New York.
Prior to joining NWQ in 1992, Gregg spent two years as an intern with Financial Network Corporation, a national full-service brokerage firm. In this role, he assisted the Senior Account Executive by conducting personal financial planning analysis and business development activities.
Gregg graduated from California State University at Long Beach with a B.S. in Marketing, and received an M.B.A. in Finance from the Hilton School of Business at Loyola Marymount University.
Jerry began his tenure at NWQ in 1992 as a Group Managed Accounts Specialist, administering accounts within sponsor programs. Prior to joining NWQ, Jerry was in the hospitality industry where he served five years with Hilton Hotels at Lackawanna Station in Scranton, Pennsylvania.
Jerry attended University of Scranton.
Prior to joining NWQ in 2005, Diane was one of the original members of an internet start-up, NetAssetManagement.com, Inc., that introduced services for the managed account space via a web-based platform. She served as a Senior Consultant responsible for due diligence on outside asset managers, performance monitoring, and mutual fund asset allocation. Prior to that, she spent nine years at Roxbury Capital Management, LLC where she served as a Senior Vice President and Senior Equity Trader managing the firm’s institutional and retail trading desk. She also served on the firm's Operating Committee which helped establish trading policies and procedures for the firm. Prior to that she spent ten years at Trust Company of the West, where she began her career in investment management, trading options, and later served as a dedicated trader for the firm’s small cap portfolio manager.
Diane graduated from Fordham University with a B.A. in Communications.
Prior to re-joining NWQ in 2016, Nga was a senior vice president and assistant portfolio manager at Nuveen affiliate Tradewinds Global Investors, LLC. Nga managed client accounts and developed and implemented department processes, portfolio analytics, and reports. Previous to this, she held assistant portfolio manager positions at NWQ and Roxbury Capital Management. Before that time, she was a senior analyst with Wilshire Associates where she reviewed client allocations and portfolios.
Nga earned her bachelor’s degree in business economics from the University of California, Los Angeles. She is a member of the CFA Institute and the CFA Society of Los Angeles.
Prior to joining NWQ in 2012, Ryan spent four years as a Senior Analyst at Pacific Investment Management Company, LLC (PIMCO). In his most recent position at PIMCO, he led a group of twenty analysts who were responsible for providing risk management analysis and support to the firm’s portfolio management team. In addition, to ensure his team was maximizing their effectiveness, Ryan was responsible for teaching his team the programming languages SQL (Structured Query Language) and Visual Basic.
Ryan graduated from California State University at Long Beach with a B.S. in Finance and Accounting.
Prior to joining NWQ in 1999, Scott spent four years at CIBC Oppenheimer, working in portfolio administration and client service for the firm’s Chief Quantitative Portfolio Strategist and his sales group. Prior to that, Scott spent three years at Bear Stearns & Co., Inc. as a junior salesperson, and three years as a Sales Representative at Titan Equities Group in New York and Los Angeles.
Scott graduated Summa Cum Laude from Woodbury University with an M.B.A. He also received a B.S. in Finance from the same institution.
This material is not intended to be a recommendation or investment advice, does not constitute a solicitation to buy or sell securities. The information does not take into account the specific objectives or circumstances of any investor, or suggest any specific course of action. Investment decisions should be made based on an investor's objectives and circumstances and in consultation with his or her advisors. All investments involve risk and there is no assurance that an investment will provide positive performance over any period of time. There is no assurance that downside protection will be achieved.
2049 Century Park East, Suite 1600
(310) 712-4100 (fax)