OXFORD FUNDS - Key Persons
Job Titles:
- Marketing Administrative Assistant / Finance
Mr. Hardenberg is a Senior Accountant at Oxford Funds, LLC. Previously, Mr. Hardenberg worked at KPMG US LLP within the Audit Metro group, focusing primarily on publicly traded companies. Mr. Hardenberg received his Bachelor of Science in Accounting and his Master of Science in Accounting from Quinnipiac University. He is a licensed Certified Public Accountant in the State of New Jersey.
Mr. Aleksa is a Vice President of Oxford Funds, LLC. Previously, Mr. Aleksa was a Senior Analyst in the Capital Markets group at CBA Commercial. Mr. Aleksa received a B.A. in Accounting and Finance from Franklin & Marshall College. Mr. Aleksa is also a CFA Charterholder.
Mr. Rubin is the Chief Financial Officer of Oxford Square Capital Corp. and holds the same position at Oxford Lane Capital Corp. He is the former Assistant Treasurer & Director of Financial Planning of the New York Mercantile Exchange, Inc., the largest physical commodities futures exchange in the world and has extensive experience with Sarbanes-Oxley, treasury operations and SEC reporting requirements. From 1989 to 1995, Mr. Rubin was a manager in financial operations for the American Stock Exchange, where he was primarily responsible for budgeting matters. Mr. Rubin began his career in commercial banking as an auditor primarily of the commercial lending and municipal bond dealer areas. Mr. Rubin received his BBA in Accounting from Hofstra University where he also obtained his Masters of Business Administration in Finance.
Mr. Smith is a Marketing Associate of Oxford Funds, LLC, where he assists in our capital development and relationship management efforts with wealth managers. Mr. Smith has 15 years of experience servicing institutional clients, broker-dealers, RIAs and wealth managers at industry leaders Citibank, Lincoln Financial Group and Impact Cubed. Mr. Smith received a B.S. in Economics and an M.B.A. with a Finance Concentration from the University of Delaware. He holds his Series 7, 65 and SIE licenses. Mr. Smith is a CFA Level 2 candidate.
Job Titles:
- Senior Accounting Manager
Mr. Rothman is a Senior Accounting Manager of Oxford Funds, LLC. Previously, Mr. Rothman worked as a Manager in the Financial Services Assurance group at Ernst & Young U.S. LLP, where he served clients in the alternative investments industry, focusing primarily on private equity institutions and hedge funds. Mr. Rothman received his Bachelor of Science in Accounting from Pace University and is a licensed Certified Public Accountant in the State of New York.
Job Titles:
- Member of the Board
- Head of Capital Markets for Amergin Asset Management
David S. Shin is the Head of Capital Markets for Amergin Asset Management, an asset manager specializing in transportation assets. Mr. Shin also serves on the Board of Directors of Oxford Park Income Fund, Inc. Mr. Shin has worked for many leading financial institutions including Merrill Lynch, Citigroup, Deutsche Bank, Perella Weinberg, Global Atlantic and Apollo over the past three decades as an investment professional, advisor and investment banker. Mr. Shin began his career as a CPA at KPMG Peat Marwick before attending law school. Mr. Shin received a B.S., magna cum laude, from The Wharton School at the University of Pennsylvania and a J.D. from Columbia Law School.
Mr. Cummins has served as Chief Compliance Officer pursuant to an agreement between Oxford Funds and ACA Group ("ACA") and, prior to their merger, Foreside Consulting Service, LLC ("Foreside"), compliance consulting firms. Mr. Cummins currently serves as the Chief Compliance Officer of Oxford Funds, LLC, Oxford Park Income Fund, Inc., Oxford Park Management, LLC, Oxford Square Capital Corp., Oxford Square Management, LLC, Oxford Lane Capital Corp., Oxford Lane Management, LLC, and Oxford Gate Management, LLC. Mr. Cummins has been a director of ACA/Foreside since June 2014 and in that capacity, he also serves as the Chief Compliance Officer to three unaffiliated business development companies. Prior to joining ACA/Foreside, Mr. Cummins was a consultant for Barclays Capital Inc. from 2012 to 2013, where he participated in numerous compliance projects on pricing and valuation, compliance assessments, and compliance policy and procedure development. Prior to his consulting work at Barclays, Mr. Cummins was from 2010 to 2011 the COO and the CCO for BroadArch Capital and from 2009 to 2011 the CFO and CCO to its predecessor New Castle Funds, a long-short equity asset manager. Prior to that, Mr. Cummins spent 25 years at Bear Stearns Asset Management, where he was a Managing Director and held senior compliance, controllers, and operations risk positions. Mr. Cummins graduated with a B.A. in Mathematics from Fordham University.
Mr. Banafsheha is a Principal of Oxford Funds, LLC. Previously, Mr. Banafsheha was a Vice President in the Finance division of Goldman Sachs. Prior to joining Goldman Sachs, he was a Senior Consultant at Deloitte. Mr. Banafsheha received a B.S. in Business Administration with a concentration in Finance from the State University of New York, University at Albany, where he graduated magna cum laude, and an M.B.A. from the MIT Sloan School of Management. Mr. Banafsheha has also attained the Chartered Alternative Investment Analyst (CAIA) designation.
Job Titles:
- Senior Accountant
- Senior Accountant / Operations and Compliance
Mr. Damon is a Senior Accountant at Oxford Funds, LLC. Previously, Mr. Damon worked at KPMG US LLP within the Financial Services Audit group, focusing primarily on asset management and alternative investment companies. Mr. Damon received his Bachelor of Science in Management and his Master of Accounting from Tulane University.
Job Titles:
- Senior Accounting Manager
Mr. Faenza is a Senior Accounting Manager of Oxford Funds, LLC. Previously, Mr. Faenza worked at RSM US LLP within the Financial Services Assurance group, focusing on private equity institutions and hedge funds. Mr. Faenza received his Bachelor of Science in Accounting and his Master of Science in Accounting from the University of Connecticut and is a licensed Certified Public Accountant in the State of Connecticut.
Joe Kupka - Managing Director
Mr. Kupka is a Managing Director of Oxford Funds, LLC. Previously, he worked as a risk analyst for First Equity Card Corporation. Mr. Kupka has a B.S. in Mechanical Engineering from the University of Pennsylvania, where he was the Abel and Bernstein Class of 1945 Scholarship Recipient.
Job Titles:
- Member of the Board
- President and CEO of Schurz Communications, Inc
John Reardon is the President and CEO of Schurz Communications, Inc., a leading broadband and managed cloud services provider. Mr. Reardon also serves as a Board Member and Audit Committee Member for Schurz Communications, Inc. Mr. Reardon also serves on the Board of Directors of Oxford Park Income Fund, Inc. In 2023, Mr. Reardon was elected to the board of ACA Connects (America's Communications Association) which represents the leading broadband companies in the United States. Previously, Mr. Reardon was Of Counsel with Kutak Rock, LLP, where he advised broadband and software companies on corporate and regulatory matters. Mr. Reardon served from 2019 until 2021 as the Director of Business Strategy, Smart Cities, for American Infrastructure Partners, LP, an infrastructure fund based in Foster City, California. Mr. Reardon was previously the Managing Director of Choctaw Telecom LLC. In addition, Mr. Reardon served as Chief Executive Officer, General Counsel, and a member of the Board of Directors of Mobex Communications, Inc. from 1997 until 2005. Mr. Reardon began his career in telecom law at the boutique Washington, DC firm of Keller and Heckman, LLP. Mr. Reardon received a Bachelor of Arts degree, summa cum laude, from Boston University, and earned his J.D. from Columbia Law School.
Mr. Cohen is the Chief Executive Officer of Oxford Square Capital Corp. and is also the Chief Executive Officer of Oxford Lane Capital Corp. Previously, Mr. Cohen managed technology research groups at Wit SoundView, Merrill Lynch & Co., UBS Securities and Smith Barney. Mr. Cohen has more than 15 years of experience in technology-related equity research and was named to the Institutional Investor "All-American" research team in 1996, 1997 and 1998. Mr. Cohen received a Bachelor of Arts degree in Economics from Connecticut College and an M.B.A. from Columbia University.
Job Titles:
- Managing Director
- Portfolio Manager
Mr. Yonon is a Managing Director and Portfolio Manager of Oxford Funds, LLC. He has been managing the firm's loan portfolio since 2016. Previously, Mr. Yonon was an Associate at Deutsche Bank Securities and prior to that he was an Analyst at Blackstone Mezzanine Partners. Before joining Blackstone, he worked as an Analyst at Merrill Lynch in the Mergers & Acquisitions group. Mr. Yonon received a B.S. in Economics with concentrations in Finance and Accounting from the Wharton School at the University of Pennsylvania, where he graduated magna cum laude, and an M.B.A. from the Harvard Business School.
Ms. Paul is the Director of Operations at Oxford Funds, LLC. She is responsible for trade settlement operations, middle office functions and compliance. Ms. Paul received her B.A. from Gordon College.
Job Titles:
- Chairman
- General Counsel
- Senior Vice President
Mark J. Ashenfelter presently serves as a Senior Vice President and the General Counsel of Haebler Capital, a private investment company located in Greenwich, CT. Prior to joining Haebler Capital in 1994, Mr. Ashenfelter was an associate at Cravath, Swaine & Moore from 1985 to 1992 and Cadwalader, Wickersham & Taft from 1992 to 1994. Mr. Ashenfelter also serves on the Board of Directors of Oxford Park Income Fund, Inc. Mr. Ashenfelter received a B.A., cum laude, from Harvard University, a J.D., magna cum laude, from New York Law School, where he was Managing Editor of the Law Review, and a LL.M. (Taxation) from New York University School of Law.
Job Titles:
- Managing Director
- Managing Director, Marketing
Mr. Worontzoff is a Managing Director, Marketing of Oxford Funds, LLC, where he leads our capital development efforts with wealth managers. Mr. Worontzoff has over three decades of financial service experience. Previously he was a Senior Vice President for Concept Capital Markets, an alternative-focused comprehensive advisory services firm. He was previously a Founder and Managing Partner of NW3, a placement agent in venture capital and the Managing Director for Virtus Real Estate Capital. Prior to that he was the Head of Business Development and a minority owner at Evermore Global Advisors. Mr. Worontzoff was the Director of Sales at Clearbrook Financial and from 1995 to 2007 served in several sales and senior sales positions at Fidelity Investments, directing sales and marketing for Fidelity's Registered Investment Advisor Group in the Mid-Atlantic and East Coast regions. Mr. Worontzoff received a B.S. in Business with a Finance concentration from the University of Buffalo. He holds his series 7, 66 and SIE licenses.
Job Titles:
- Member of the Board
- President
Mr. Rosenthal is the President of Oxford Square Capital Corp. and is also the President of Oxford Lane Capital Corp. Previously, Mr. Rosenthal was an attorney at the law firm of Shearman & Sterling LLP. Mr. Rosenthal is a board member of Oxford Lane Capital Corp. and the National Museum of Mathematics. He received a Bachelor of Science degree magna cum laude from the Wharton School of the University of Pennsylvania, a J.D. from Columbia University Law School, where he was a Harlan Fiske Stone Scholar, and a LL.M. (Taxation) from New York University School of Law.
Mr. Ball is a Middle Office Associate of Oxford Funds, LLC. Previously, Mr. Ball was an Assistant Vice President on the Operations team at Anchorage Capital Group, LLC. Mr. Ball received a B.A. in Economics cum laude from Villanova University.
Job Titles:
- Head of Information Technology
Sergio Giudici is Head of Information Technology at Oxford Funds, LLC. Previously, he worked at Axiom Technology Group as a Network and Structure Engineer. Before joining Axiom, Mr. Giudici worked as a Network and Virtual Deployment Engineer at New Vision Systems and as a Technology and Engineering consultant and Head of Information Technology at National Tree Company. He received a B.A. in Computer Science from Full Sail University and a B.A. in Hardware and Software Management from ORT University in Uruguay.
Mr. Longo is an Accounting Manager at Oxford Funds, LLC. Previously, Mr. Longo worked at Ernst & Young US LLP within the Financial Services Assurance group, focusing primarily on banking and capital market institutions. Mr. Longo received his Bachelor of Science in Accounting and his Master of Science in Accounting from Fairfield University and is a licensed Certified Public Accountant in the State of Connecticut.
Job Titles:
- Associate
- Associate / Marketing
Mr. Vallie is an Associate of Oxford Funds, LLC. Previously, Mr. Vallie was an Operations Associate on the Operations team at Chilton Investment Company. He received a B.A. in Economics from Marist College.
Job Titles:
- Controller
- Vice President, Finance
Mr. Gurrera is the Vice President, Finance of Oxford Square Capital Corp. and Controller and Vice President, Finance of Oxford Lane Capital Corp. He was formerly an Accountant at Ellington Management Group, LLC, a hedge fund specializing in asset-backed securities. From 2002 to 2006, Mr. Gurrera was a Senior Auditor at Ernst & Young LLP focusing on hedge funds, broker dealers and private equity institutions. Mr. Gurrera received his BBA in Accounting from the Hagan School of Business at Iona College and is a licensed Certified Public Accountant in the State of New York.