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.

Managing Director, Marketing and Investor Relations

Daniel Farrell is responsible for the coordination of all marketing efforts at Phalanx, including business development, Investor Relations, and external communications for the firm. Before joining Phalanx, Dan was a partner at Biztrade where his main focus was assisting in the brokerage of small to midsized businesses. He also worked in the mortgage business at Decision One Mortgage, a division of HSBC, as well as a strategic account executive at Experian Information Solutions where he worked closely with key banking relationships. Dan began his career as a program manager of a diagnostic home for abused and neglected children at Maryville Academy, the largest child/adolescent care organization in Illinois. Dan received a BA in Psychology from Loras College, Iowa in 1993.

Chief Financial Officer, Chief Compliance Officer

As CFO and CCO, Brooke Gottshall oversees the firm's accounting and financial activities, and is responsible for the firm's compliance program. Brooke brings to Phalanx broad capital markets experience ranging from derivatives trading to valuation and accounting control. In his previous experience, Brooke served as the hedge fund controller of a fund administrator responsible for the accounting functions for 13 separate hedge funds. He also worked as the controller for Citigroup-NY Investment Bank and as manager of Bank One's commodity and equity derivatives middle office. 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 a Certified Public Accountant.

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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