SAGEROCK - Key Persons
Job Titles:
- Investment Research Associate - Investment Management and Research
Aaron joined Commonwealth in August 2020 as a general investigations specialist after interning on the Investment Research team in 2019 and the Service Center in 2018. In his current role, he establishes, audits, and researches issues with periodic investment plans and mutual fund conversions. He also works with NFS to research advisor inquiries and identify and improve internal processes and procedures. Prior to returning to Commonwealth, Aaron was a private equity intern with Search Fund Accelerator. He earned his bachelor's degree in business administration with a concentration in finance from Boston University's Questrom School of Business. In his free time, Aaron enjoys weightlifting, playing golf, and watching both the Patriots and Bruins.
Andrew joined Commonwealth in August 2014 as an investment research analyst. In his current role as a portfolio manager, he is responsible for asset allocation research and mutual fund due diligence for the PPS Select portfolios. In addition, he is responsible for advisor inquiries related to portfolio construction, asset allocation, and market/economic-oriented issues. Prior to joining Commonwealth, Andrew worked for LPL and Bank of America. He graduated from Emory University with a dual degree in economics and history, with a concentration in East Asia studies. In addition to FINRA Series 7 and 66 securities registrations, Andrew holds the CAIA, ERP, and FRM® designations and is a member of the Boston Security Analysts Society. While attending Emory, he ran cross-country and track and studied abroad in Melbourne, Australia. Andrew is also an open foodie and enjoys traveling.
Job Titles:
- Managing Principal, Chief Investment Officer - Executive Management - Investment Management and Research
As chief investment officer, Brad chairs the investment committee and is the primary spokesperson for Commonwealth's investment divisions. Brad received his BA from Dartmouth College, an MS from MIT, and an MS from Boston College. He has worked as a real estate developer, consultant, and lender; as an investment analyst, manager, and consultant; and as a start-up executive. He has started and run several companies. He holds the AIF® designation. Other professional qualifications include designated membership in the Appraisal Institute (MAI), the CFA Institute, and the CAIA Association. Brad speaks around the country on investment issues and writes for industry publications, as well as daily on his blog, The Independent Market Observer. He has traveled widely around the world. In his free time, Brad reads extensively in history, math, and science and plays very bad golf. He and his wife Nora brought home their son Jackson Vu from Da Nang, Vietnam.
Mgr., Investment Management and Research - Investment Management and Research
Brian joined Commonwealth in August 2004 as a member of the Retirement team. In January 2008, he joined the Research team as an investment research associate. In his current role as manager of investment management and research, Brian is responsible for manager evaluation and selection, as well as for the dissemination of research in the small- and mid-cap asset classes. In addition, he is responsible for responding to inquiries on exchange-traded fund research, equity portfolio construction, and asset allocation. Brian also supports the Research team in creating reports, commentary, and investment manager profiles, as well as in other investment-related project work. Prior to Commonwealth, he worked at Signator Financial Network and at Putnam Investments. Brian received his BS in management and finance from Quinnipiac University. He obtained the CIMA® designation and is a member of the Investments & Wealth Institute. He also holds FINRA Series 7, 24, and 63 securities registrations.
Job Titles:
- Managing Principal, Investment Mgmt. and Research - Executive Management - Investment Management and Research
As senior vice president of investment management and research, Brian manages the Research team and oversees the asset allocation, fund selection, and overall management of Commonwealth's Preferred Portfolio Services® Select program. Brian has more than 18 years of industry experience, having previously worked for Bernstein Investment Research & Management as a senior financial advisor associate. He graduated from Georgetown University with a BA in American government. Brian holds FINRA Series 7, 63, and 65 securities registrations, as well as the CFA® designation.
Job Titles:
- VP, Alternative Investments - Investment Management and Research - San Diego Team
Chad started at Commonwealth's Waltham office in February 2000 and moved to our San Diego office in 2001. During his tenure with the firm, he has been a transfer of assets analyst and a member of the Account Services and Fee-Based Asset Management teams. In 2005, he joined Research as an alternative investment analyst and has since transitioned to manage the alternative investment sleeve of the Investment Management and Research department. In his current role as vice president, alternative investments, Chad is responsible for the analysis, approval, and ongoing monitoring of all alternative investment products (e.g., private equity, private credit, hedge funds, real estate, infrastructure, and commodities). In addition, he trains and educates our advisors through print and web-based media. Chad graduated from Bates College with a degree in economics, is a CFA® charterholder, and holds the CAIA designation and FINRA Series 7, 24, 63, and 65 securities registrations. He enjoys spending time with family and participating in outdoor activities.
Job Titles:
- Portfolio Manager - Investment Management and Research
Chris joined Commonwealth in December 2014 as a portfolio manager. In this role, he helps manage the PPS Select portfolios. He is responsible for asset allocation, security selection, and ongoing portfolio monitoring. In addition to his responsibilities on the PPS Select platform, Chris also assists Commonwealth advisors with questions pertaining to their own model portfolios. Prior to joining Commonwealth, Chris worked for 20 years in small- and mid-cap stock research and managed small- and mid-cap value portfolios for institutional and high-net-worth clients. Chris earned his degree in economics from Bates College and his MBA from the UNC Kenan-Flagler Business School. He enjoys spending time with his family and watching or participating in any activity involving any of his four kids. He serves on the board of LS Youth Baseball and coaches his son's team. He is also the chair of the Lincoln School Building Committee and the Lincoln Parks and Recreation Committee. In his free time, he runs and works in his vegetable garden.
The details make all the difference. As the Practice Manager, Corrie makes sure communication between you and our team is seamless. She's a strategic thinker with a passion for details, which is also why she oversees compliance for SageRock.
Ultimately, Corrie wants to make an impact. She supports local business, microfinance for struggling economies, and sponsors children in Kenya and Burundi.
Corrie is an avid traveler, expanding her worldview and shattering bias. Along with her husband Jason, their bucket list involves travels to New Zealand and biking through the Netherlands.
Education
Grand Valley State University's Seidman School of Business
Job Titles:
- Investment Research Associate - Investment Management and Research
Eli joined Commonwealth in September 2022 as an investment research associate. In this role, he responds to inquiries from Commonwealth's advisors on investment topics and products, researches and analyzes alternative investment products, and produces comprehensive research reports. Eli holds abachelor's degree in kinesiology and a master's degree in alternative investments from the University of Massachusetts Amherst. Outside of work, Eli enjoys playing soccer, snowboarding, biking, and traveling.
Job Titles:
- Portfolio Manager - Investment Management and Research
Fred joined Commonwealth in May 2009. As a portfolio manager, Fred manages the PPS Select SMA strategies. He is responsible for security selection, portfolio overview, and ongoing account monitoring. Fred is also responsible for idea generation regarding opportunities in the fixed income market. In addition, he assists with fixed income research, as well as researching industry trends related to the fixed income market. Prior to joining Commonwealth, Fred worked in fixed income at both Morgan Stanley and Bear Stearns. He graduated from Plymouth State University with a double major in financial management and economics, and he earned his MBA from Plymouth as well. He attended Waterville Valley Academy for three years of high school and for two postgraduate years as part of the Alpine ski-racing program. Fred's hobbies include skiing, golfing, biking, reading, and traveling to beaches all over the world. He also enjoys good wine and good food.
Job Titles:
- VP, Equity Research - Investment Management and Research
Jim oversees the Equity Research team, which assists advisors with ongoing due diligence and analysis of equity-based mutual funds, ETFs, separately managed accounts, and individual securities. Jim and the Equity team also manage the Preferred Portfolio Services® Select Equity Income SMA models. Jim earned a BS in finance from Lehigh University and holds the Chartered Financial Analyst® designation. Prior to Commonwealth, he was a fundamental equity research analyst for Loomis, Sayles & Company and a research analyst at State Street Global Advisors in the U.S. active quantitative group.
Job Titles:
- Investment Research Analyst - Investment Management and Research
Joe joined Commonwealth in June of 2015 as an operations support specialist in the Service Center. He worked his way up within the Service Center and became a supervisor in 2021 before transitioning to his current role in 2022 as an investment research analyst covering fixed income on our Investment Management & Research team. In this role, Joe is primarily responsible for assisting advisors with fixed income portfolio reviews, including the analysis of individual corporate and municipal bonds. Joe graduated from UMass Amherst with a bachelor's degree in finance. He holds his FINRA Series 7, 24, and 66 securities registrations and is working toward becoming a CFA® charterholder. Outside of work, Joe loves spending time with friends and family and hosting gatherings with his wife. He enjoys hiking, camping, and pretty much any outdoor adventure.
Job Titles:
- Managing Principal, San Diego - Executive Management - Investment Management and Research - San Diego Team
John came to Commonwealth in 1988 after spending five years as a vice president at Moseley Securities in Boston. Arriving to work in the Product department, John handled mutual funds, many partnerships, commodities, variable annuities, qualified plans, and individual issues. Over time, he has helped engineer the growth of not only the Product department but also Commonwealth as a whole and is relied upon by all parties for his advice and perspective on the direction of the firm. John opened and now manages Commonwealth's West Coast office in San Diego, California. He has been a guest on numerous television shows and nationally syndicated radio programs. He is a graduate of Colby College with a BA in government and attended Harvard Business School's OPM Key Executives Program. In 2015, John was elected to the Financial Services Institute (FSI) board of directors, and he assumed the role of FSI board chair in 2020. He also holds FINRA Series 7, 24, 63, and 65 securities registrations. Besides voraciously reading about the financial industry and markets, John enjoys wine; golfing; following his hometown Philadelphia sports teams (especially the Eagles); and, most of all, spending time with his wife, Janice, and three kids, Chase, Josie, and Kellen.
Job Titles:
- Investment Research Analyst - Investment Management and Research
Justin joined Commonwealth in September 2017 as a supervisor, advisor support, in Portfolio Reports and Data Services and was promoted to manager in February 2019. He joined the Investment Management and Research team as an investment research analyst in March 2021. In this role, he facilitates due diligence and research activities on products within alternative financial strategies, such as managed futures, hedge funds, private equity, structured products, real assets, mutual funds, and exchange-traded funds. Prior to joining Commonwealth, Justin was a director of retirement call center operations at MassMutual. He graduated from the University of Massachusetts at Amherst with a BBA in finance and operations management. He is currently a May 2021 CFA® Level III candidate. When there's time to get away, Justin loves backpacking through the beautiful New England wilderness, canoeing in Maine, and traveling to Puerto Rico with his wife and daughters.
Job Titles:
- Alternative Investments Consultant - Investment Management and Research
Mike joined Commonwealth in August 2014 and has held roles in the Service Center, Compliance, and Investment Consulting Services (now Investment Advisory Consulting). As an alternative investments consultant, Mike works with our advisors in educating, understanding, and selecting alternative investments across Commonwealth's platform. Before joining Commonwealth, Mike was a financial advisor at Morgan Stanley. He attended UCLA, where he majored in history, and then earned his MBA from Point Loma Nazarene University. Mike holds FINRA Series 7, 24, 31, and 66 securities registrations. Before entering the financial services field, he was a golf course general manager for American Golf. He enjoys golf and soccer and coaches his daughter's soccer teams. Mike alsoloves movies and is a Disney fan. He loves taking the family to Disneyland-his favorite ride is Star Wars: Rise of the Resistance.
Job Titles:
- Senior Investment Research Analyst - Investment Management and Research - San Diego Team
Nathan joined Commonwealth in September 2013 as an investment research analyst, and in 2016, he was promoted to senior investment research analyst. In this role, Nathan facilitates our due diligence and research activities on real asset-focused investments (commercial real estate, commodities, infrastructure, and natural resources). Nathan received his bachelor's in business administration from California State University, Chico, and his master's in finance from San Diego State University. He has his FINRA Series 7 and 63 securities registrations and the CFA® and CAIA designations. Prior to Commonwealth, Nathan worked for LPL Financial in its San Diego home office. Before that, he was an M&A associate intern at Bainbridge Capital, a capital advisory and management consulting firm in San Diego. In his spare time, Nathan enjoys golfing, surfing, and skiing. He also enjoys traveling, reading, and other outdoor activities.
Job Titles:
- SVP, Investment Management and Research - Investment Management and Research
Peter joined Commonwealth in 2004. As vice president of the investment management and research team, he oversees asset allocation, fund selection, and overall management of Commonwealth's discretionary platform, Preferred Portfolio Services Select. Prior to joining Commonwealth, Peter worked at Albany International and Kestner Engineers. He graduated from Union College, where he earned his BS in economics. In addition to holding FINRA Series 7, 24, 31, 53, and 66 securities registrations, Peter has the CAIA and CFP® designations and is a CFA® charterholder. He is also a member of the Boston Security Analysts Society.
Job Titles:
- Senior Investment Research Analyst - InvestmentManagement and Research
Peter joined Commonwealth in October 2012 as an advisory fees associate. In his current role as investment research associate, he assists with manager evaluation and dissemination of research. He is involved in the investment process, attending due diligence meetings. In addition, Peter assists with market research and commentary and helps support the advisor force by handling general inquiries related to the Mutual Fund Recommended List. Prior to joining Commonwealth, Peter interned for Strategic Financial Partners and Baystate Wealth Management in Waltham and Boston. Peter graduated from Worcester Polytechnic Institute in 2012 with a BS in management. In his free time, Peter enjoys playing basketball, shooting pool, watching stand-up comedy, and fishing. His most memorable travel experience was going to England and Italy.
Mgr., Alternative Investments - Investment Management and Research
Rob joined Commonwealth in July 2013 and is currently a senior investment research analyst. Rob facilitates due diligence and research activities on products within alternative financial strategies, such as managed futures, hedge funds, private equity, structured products, mutual funds, and exchange-traded funds. Rob earned his bachelor's degree from UMass Amherst. He holds FINRA Series 7, 63, and 66 securities registrations and the Chartered Alternative Investment Analyst (CAIA) designation. Prior to joining Commonwealth, he spent the majority of his career at the global wirehouses in Boston, where he specialized in investment analysis and portfolio management. Rob's analysis experience led him to a niche focus in alternative investments.
Job Titles:
- Senior Investment Research Analyst - Investment Management and Research
Rob started at Commonwealth in October 2012 as a financial report engineer working on the Client360°® reporting platform. In June 2016, he became a fixed income analyst on the Investment Management and Research team. In this role, he is primarily responsible for responding to inquiries on corporate fixed income portfolios, including the analysis of individual corporate bonds, structured products, and preferred stock issues. He is also responsible for asset class and market research related to fixed income. Rob came to Commonwealth from Cambridge Associates, an investment consulting firm, where he worked as a performance analyst. He also worked as an investment associate for a single-family office in Providence, primarily analyzing alternative assets. Rob is a graduate of Boston College, where he concentrated in finance and accounting. He is a CFA® charterholder. In his downtime, Rob enjoys playing basketball, football, and golf.
Mgr., Fixed Income - Investment Management and Research
Sam first started with Commonwealth as a research team intern in 2013. He joined the team full-time in 2015 and worked as an investment research associate and fixed income analyst before assuming his current role as a senior investment research analyst in 2019. As a senior analyst, Sam's primary responsibilities include analyzing individual municipal bonds, responding to advisor inquiries, providing analytics and research support to the PPS Select SMA municipal bond strategies, and drafting market research and commentary. Sam graduated from Tufts University with a degree in economics. Currently, he is a Chartered Financial Analyst® (CFA®) candidate level II.
Job Titles:
- Investment Research Associate - Investment Management and Research
Sara joined Commonwealth in June 2021 as an investment management associate after interning in 2020 on the Investment Management and Research team. In her current role, she supports analysts with due diligence and research activities. She also assists with aggregating and presenting daily, weekly, and monthly investment analysis and performance reporting. Prior to interning with Commonwealth, Sara interned at New York Life and worked as a server at Tavern in the Square. She earned her bachelor's degree in finance from Bentley University. She enjoys spending her free time outdoors with friends, hiking, playing sports, and going to the beach.
Job Titles:
- Platform Manager - Investment Management and Research
Sarah joined Commonwealth in 2015 as an intern and then full-time as a marketing coordinator in 2016. She transitioned to Wealth Management in 2018, where she helped scope, manage, and communicate wealth management initiatives cross-departmentally. In her current role as an investment management analyst, Sarah provides platform-based support for Commonwealth's discretionary platform, Preferred Portfolio Services Select. She helps respond to ad-hoc investment research requests and identifies strategies to enhance the adoption of the PPS Select platform. Sarah graduated from Elon University with a BSBA in marketing and a minor in finance. She holds her FINRA Series 7 and 66 securities registrations. She enjoys spending time on the Cape with family, friends, and her black lab, Bailey.
Job Titles:
- Investment Management Associate - Investment Management and Research
Thomas joined Commonwealth in May 2022 as an intern on the Investment Management and Research team. In this role, he supports analysts with due diligence and research activities across various asset classes. He also assists with aggregating and presenting daily, weekly, and monthly investment analysis and performance reporting. Prior to joining Commonwealth, Thomas worked as a sales operations intern for Catchpoint Systems and as a state house tour guide for the Commonwealth of Massachusetts. He is currently pursuing a degree in finance from Suffolk University. In his spare time, he enjoys playing and watching basketball, reading about history, investing, and philosophy, cooking and trying new cuisines, and spending time by the water. He's a first-generation college student and is passionate about helping others understand and take control of their finances.
Job Titles:
- Investment Research Analyst - Investment Management and Research
Tom joined Commonwealth in September 2022 as an investment research analyst. In this role, he researches and analyzes equity-based investments, summarizes findings, and compiles comprehensive research and recommendation reports. Prior to joining Commonwealth, Tom managed his own digital asset hedge fund called Mission Fifth Capital and worked for State Street in their global markets division. He also worked part-time contributing stock write-ups to investorplace.com. He holds a bachelor's degree in businessadministration from Saint Michael's College and a CFA designation.
Outside of work Tom enjoys playing golf, spending time at the beach with his family and friends, and traveling internationally.
Job Titles:
- Senior Fixed Income Analyst - Investment Management and Research
As an investment research associate, Tom supports analysts with due diligence and research activities on fixed income and alternative investments. He also assists with aggregating and presenting daily, weekly, and monthly investment analysis and performance reporting. Tom graduated from Bentley University with a BS in economics and finance. Prior to joining Commonwealth, Tom worked as an intern for a private equity firm in Boston and ran the Bentley University Investment Group's financial sector.
Job Titles:
- Investment Research Analyst - Investment Management and Research
Wayne joined Commonwealth in November 2015 as an annuity product consultant and three years later, he took on a senior position. In November 2020, he joined the equity team within Investment Research as an investment analyst. In this role, he is primarily responsible for responding to inquiries on equity portfolios, including the analysis of individual stocks, ETFs, and mutual funds. Prior to Commonwealth, Wayne worked at MassMutual, Edward Jones, and The Hartford. He attended the University of Connecticut, where he earned a bachelor's in economics. He also currently holds his CFA® designation. Wayne's biggest interest and hobby would be sports, specifically the NFL and college basketball. He is a huge fan of the Patriots and UConn basketball. He also enjoys hiking, especially up north, and reading, mostly nonfiction and historical novels.