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OUR TEAM



Michael Appleton, Vice President of Compliance

Michael Appleton joined Palisade Capital in March 2011 as Vice President of Compliance.  Mr. Appleton’s responsibilities include general compliance matters, such as monitoring applicable regulatory developments, updating the Firm’s compliance manual and code of ethics, and working with the Firm’s marketing department on client reporting materials. Mr. Appleton reports to Palisade Capital’s General Counsel & Chief Compliance Officer and devotes all of his time to the Firm’s compliance efforts.

Prior to joining the Firm, Mr. Appleton worked at Alaric Compliance Services where he was responsible for on-site client consulting engagements, mock SEC compliance audits, policy and procedure reviews, internal control reviews, and compliance program design.  Prior to Alaric, Mr. Appleton was Chief Compliance Officer at both Dreman Value Management and Reich & Tang Asset Management.

Mr. Appleton received his B.A. in economics from Rutgers University and has successfully completed his Level I Certification from the Charles River Compliance Program.
 

Alison Berman, Associate General Counsel

Alison Berman joined Palisade Capital in May 2011 as Associate General Counsel. Ms. Berman’s responsibilities include assisting in the management and oversight of the Firm's legal affairs, private equity efforts, and business development.  Ms. Berman reports to Palisade Capital’s General Counsel & Chief Compliance Officer.

Prior to joining the Firm, Ms. Berman worked at Skadden, Arps, Slate, Meagher & Flom LLP, where she was an associate in the mergers and acquisitions group.  In this role, she represented various corporate and private equity clients in merger and acquisition transactions, including negotiated and contested acquisitions.  Ms. Berman also advised clients on various securities law and corporate governance matters.

Ms. Berman received her Juris Doctor from the Benjamin N. Cardozo School of Law and her B.A. from Brown University.

James Boothby, Vice President of Institutional Sales

James Boothby joined Palisade Capital in October 2011 as Vice President of Institutional Sales.  Mr. Boothby is responsible for marketing Palisade’s equity and convertible strategies to single and multi-family offices, foundations, endowments, and fund-of-funds.  Mr. Boothby reports to Jeff Serkes, Palisade's Chief Operating Officer.

Prior to joining Palisade, Mr. Boothby worked at Roosevelt Investments, where he was Vice President of the Private Client Group.  Prior to Roosevelt, Mr. Boothby was Director of Institutional Sales at Aviva Investors and Director of Marketing and Client Development at Ram Capital Resources.

Mr. Boothby received his B.A. from the University of Liverpool and holds his Financial Planning Certificates 1, 2, and 3.

Dawn Brock, Senior Vice President of Research

Dawn Brock joined Palisade Capital on November 11, 2013 as Senior Vice President of Research.  In this role, Ms. Brock will focus on security analysis and selection in the healthcare sector of the small cap core universe.  She will report to Marc Shapiro, Senior Portfolio Manager.
 
Prior to joining Palisade, Ms. Brock was at Lord Abbett & Co., LLC where she was an Investment Analyst covering healthcare.  Prior to Lord Abbett, Ms. Brock was a Managing Director, Senior Equity Analyst covering healthcare services at Kaufman Bros., L.P., and a V.P. and Senior Equity Analyst at J.P. Morgan Chase Securities.
 
Ms. Brock received her B.A. in Journalism from New York University, and a dual M.B.A. in Finance and Business Communications from Fordham University. 

Maria A. Callicoat, Compliance Assistant

Ms. Callicoat joined Palisade Capital in 1995. As Compliance Assistant, Ms. Callicoat actively assists the Vice President of Compliance with her duties. She received her B.S. in Economics from Ramapo College of New Jersey.

Catherine Carpenter, Client Account Specialist

Catherine Carpenter joined Palisade Capital in May 2012 as a Client Account Specialist, reporting to Mahendra Misir, Managing Director of Operations.  Ms. Carpenter’s responsibilities include opening new private wealth management accounts, handling client requests, and working with the Private Wealth Portfolio Managers to ensure that they have the reports and presentations needed for their clients. 

Prior to joining the firm, Ms. Carpenter worked at Wealth Preservation Solutions (WPS) where she was the Supervisor of Investment Operations.  In this role, she was responsible for overseeing the Investment Operations Department, which included all aspects of client service.  Prior to WPS, Catherine worked at Bank of America Merrill Lynch’s Broadcort division, where her duties included Trader Support and Client Services.

Ms. Carpenter attended Rutgers University, and is now attending the University of Phoenix, where she is scheduled to complete her degree in Business Administration this December.

Lisa Chai, Senior Vice President of Research

Lisa Chai joined Palisade Capital in February 2009 as Senior Vice President of Research. With over thirteen years of experience following technology companies, she is an important member of the Firm's small, smid and mid cap growth equities team.

Prior to joining Palisade, Ms. Chai was a member of AG Asset Management's small cap growth team. Prior to AGAM, she worked as a Research Analyst in private equity and a Portfolio Manager for a small-cap technology fund at the Tavistock Group. Previously, Ms. Chai was a partner at Ridgecrest Partners focusing on Technology. Prior to that, she was a Director at Georgeson & Company, advising in corporate governance consulting, mergers & acquisitions and corporate control transactions for the Telecom and Technology sectors.

Ms. Chai received her B.S. at Boston University's School of Management, with a major in Finance and minor in MIS.

Michael J. Chizmar, Vice President of Convertible Securities

Michael Chizmar joined Palisade Capital in December 2006. As Vice President of Convertible Securities, Mr. Chizmar assists in the daily trading and portfolio data management of both the firm's institutional convertible portfolios and convertible arbitrage funds. He is also responsible for updating market data and maintaining the convertible bond model inputs.

Prior to joining Palisade, Mr. Chizmar was a junior trader for the Convertible Arbitrage group at BNP Paribas/CooperNeff and a risk analyst at BNP Paribas/CooperNeff. He received his B.S. in Finance from Pennsylvania State University.

 

Elpida Christodoulou, Assistant Vice President of Operations and Senior Portfolio Administrator

Elpida Christodoulou joined Palisade in July 2012 as Assistant Vice President of Operations and Senior Portfolio Administrator, reporting to Mahendra Misir, Managing Director of Operations.  Ms. Christodoulou‘s responsibilities include handling all portfolio administration, corporate actions, and reconciliations.

Prior to joining the firm, Ms. Christodoulou worked at Brookfield Investment Management.  In her role as Senior Portfolio Administrator, she was responsible for both their equity and fixed income products.  Prior to Brookfield, Elpida worked at Lazard Asset Management as a Private Client Accounting Supervisor and Senior Accountant.

Ms. Christodoulou received her B.A. in Economics from Rutgers University.
 

Brian Deitelzweig, Managing Director of Trading

Mr. Deitelzweig joined Palisade Capital in February 2009. As Managing Director of Trading, Mr. Deitelzweig's responsibilities relate to overseeing all equity trading for Palisade.

 Prior to joining Palisade, Mr. Deitelzweig was head trader at AG Asset Management.

 Mr. Deitelzweig received his B.A. in Accounting from the University of Hartford.

 

Michael I. Feiler, Vice President of Personal Wealth Management

Mr. Feiler joined Palisade Capital upon its formation in 1995. As the Vice President of Personal Wealth Management, Mr. Feiler is responsible for managing client accounts, inquiries, marketing and meeting regularly with clients to discuss their investment objectives and performance.

Prior to joining Palisade Capital, Mr. Feiler participated in the Executive Training Program at Smith Barney. He received his B.S. in Business Administration and Certification in Health Care Management from SUNY- Stony Brook.

Brian K. Fern, Chief Financial Officer

Mr. Fern joined Palisade Capital in 2004. As Chief Financial Officer, Mr. Fern is responsible for the safeguarding of the firm's assets as well as financial oversight for all private equity entities managed by the firm. He also works closely with the firm's outside auditors and with fund administrators on both onshore and offshore private partnerships.

Prior to joining Palisade Capital, Mr. Fern was a Vice President and Controller of CIBC-World Markets, working with the Real Estate, Credit Capital Markets and Investment Banking groups. Mr. Fern received his B.S.B.A. from Boston University School of Management.

Paul Flather, Portfolio Manager

Mr. Flather joined Palisade Capital in January 2013 as Portfolio Manager of the Palisade Long Short Alpha Fund, a long/short securities hedge fund, and is a member of the Investment Policy Committee.

Prior to joining Palisade, Mr. Flather was the Portfolio Manager of Hermes Partners, LP, a long/short securities hedge fund.  Previous to Hermes, which he founded in 1994, Mr. Flather served in institutional sales roles at Kidder, Peabody & Co., Gruntal & Co., Bateman Eichler & Co., and Smith Barney.

Mr. Flather received his M.B.A. in Finance from Columbia University and his B.A in Business Economics from UCLA.

 

Frank Galdi, Managing Director and Chief Risk Officer

Frank Galdi joined Palisade Capital on April 21, 2014 as Managing Director, Chief Risk Officer.  In this newly created role, Mr. Galdi will have overall responsibility for Palisade’s risk management function, including the identification and assessment of risks at the portfolio level and at a business level.  Mr. Galdi will also be responsible for the management and oversight of Palisade’s performance measurement, reporting and analytics function, and the management of due diligence efforts relating to future product development and potential strategic acquisitions.  Mr. Galdi will have dual reporting responsibilities to Jeffrey Serkes, Chief Operating Officer, and Dennison Veru, Executive Vice President and Chief Investment Officer.

Prior to joining Palisade Capital, Mr. Galdi was Vice President & Head of Investment Strategy and Risk Management at New York Life Insurance Company, overseeing risk management, third party investment manager research, and due diligence functions for their wealth management division.  In this position, he was Chairman of the Investment Management Committee, responsible for overall governance and risk oversight for all investment products and strategies offered on New York Life’s wealth management platform.  Prior to New York Life, Mr. Galdi was a Managing Director and Principal at Bear Stearns & Co., where he was the Head of Risk and Performance Analytics for their investment management division.  Previous to Bear Stearns, Mr. Galdi held a number of roles at Metropolitan Life Insurance Co., including as a Senior Investment Analyst in Fixed Income Investments, Investment Analyst in Real Estate Capital Markets, and Senior Financial Analyst in their Institutional Business Department. 
 
Mr. Galdi received both his MBA in Finance and his BA in Accounting from the Lubin School of Business at Pace University.  In addition, Frank completed an executive post-graduate program in Risk Management from the PRMIA Institute.
 

Bradley R. Goldman, Managing Director, General Counsel & Chief Compliance Officer

Mr. Goldman joined Palisade Capital in 2006 and is responsible for the management and oversight of the Firm's legal affairs and securities compliance efforts. Mr. Goldman also spends a portion of his time working with the Firm's Private Equity team.

Prior to joining Palisade in 2006, Mr. Goldman was a corporate associate at the law firm of Riker, Danzig, Scherer, Hyland & Perretti LLP. There, he worked with his clients on a variety of governance, contractual, and general corporate matters. Mr. Goldman began his career as an associate in the mergers and acquisitions group of Skadden, Arps, Slate, Meagher & Flom LLP, where he represented companies in large private equity, mergers and acquisitions, and corporate finance transactions. Mr. Goldman is a member of the New York and New Jersey Bars. He received his Juris Doctor with Honors from the Rutgers-Newark School of Law, where he served as Senior Articles Editor of the Rutgers Law Review and member of The Order of the Coif, and his B.A. with Honors from Rutgers College as a Henry Rutgers Scholar.

Roseanne Heffernan, Client Account Specialist

Ms. Heffernan joined Palisade Capital in 2004. As Client Account Specialist, she is responsible for new account documentation and assisting private wealth management clients with their individual daily requests.

Ms. Heffernan received her secretarial business degree from Berkeley Secretarial School.

James T. Jahnke, Managing Director of Private Equity

Mr. Jahnke joined Palisade Capital in 2005. As Managing Director of Private Equity, Mr. Jahnke leads the private equity team at the firm, which is responsible for portfolio monitoring of existing investments and financial analysis, valuation determination, deal structuring and due diligence of new investments. Mr. Jahnke, together with the Principals of Palisade Capital, is responsible for the sourcing of new private equity investments.

Prior to joining Palisade, Mr. Jahnke held various positions over an eighteen year period at Chrysler and DaimlerChrysler in Control, Treasury, Merger and Acquisitions and Investor Relations. Mr. Jahnke received his M.B.A. from the University of Chicago Graduate School of Business and is a graduate of the University of Denver.

Kyle M. Kavanaugh, Associate Portfolio Manager & Senior Vice President of Research

Mr. Kavanaugh is Associate Portfolio Manager and Senior Vice President of Research for the Firm’s Institutional Small Cap Core Equity strategy, with lead research responsibility for several sectors, including Energy, Financials, and Consumer Discretionary.  Prior to his promotion to Associate Portfolio Manager in March 2012, Mr. Kavanaugh was Senior Vice President of Research for the strategy.

Prior to joining Palisade in April 2001, Mr. Kavanaugh was a sell-side analyst at Pennsylvania Merchant Group, Schroders and NatWest Securities.  In addition, he has written and published investment advice for the Value Line Investment Survey.  Mr. Kavanaugh has over 19 years of research experience covering various sectors and industries. Mr. Kavanaugh received his B.S. in Finance and Economics from Drexel University.
 

Judith C. Keilp, Vice President of Compliance

Ms. Keilp joined Palisade Capital in 2000. As Vice President of Compliance, Ms. Keilp works with the Firm's compliance team on Palisade Capital's compliance efforts.

Prior to joining Palisade Capital, Ms. Keilp served as counsel to the equity products group of New York Life Insurance Co. and MBL Life Assurance Corporation. Ms. Keilp is a CFPR certificant, a Chartered Mutual Fund Counselorsm and a Certified Securities Compliance ProfessionalR. She received her Juris Doctor and M.B.A. from Seton Hall University. Ms. Keilp is a member of the New York, New Jersey and Washington D.C. bars. She received her B.A. Magna Cum Laude in Economics from St. Peter's University.

Kevin P. Klarnet, CFA, Director of Convertible Securities

Mr. Klarnet joined Palisade Capital in 1995. As Director of Convertible Securities, Mr. Klarnet is a member of the Investment Policy Committee and assists in the management of the firm's institutional convertible portfolios. His responsibilities include equity and credit analysis of companies with outstanding convertible securities and providing daily portfolio analytics for the convertible portfolio.

Prior to joining Palisade, Mr. Klarnet was Vice President and principal strategist in convertible securities at Prudential Securities. His previous experience includes portfolio management and research positions at Value Line, Round Hill Capital and Shearson Lehman Brothers with emphasis throughout his career in convertible securities and options. Mr. Klarnet is a CFA Charterholder. He received his M.S. in Economics from the University of Rhode Island and his B.A. in Economics and Geology from Colgate University.

 

Ray Lam, CFA, Senior Vice President of Convertible Securities

Ray Lam joined Palisade Capital in May 2012 as Senior Vice President of Convertible Securities, reporting to Elliot Stiefel, Managing Director of Convertible Securities.  Mr. Lam’s responsibilities include security selection for both the long only and convertible arbitrage portfolios with a focus on the energy sector. 

Prior to joining the firm, Mr. Lam worked at Amida Capital Management where he was a credit analyst for their convertible arbitrage strategy.  In this role, he recommended convertible arbitrage trades based on fundamental credit analysis.  Prior to Amida, Mr. Lam was a credit analyst on the convertible arbitrage team at both AM Investment Partners and Arbitex Asset Management. 

Mr. Lam  received his M.B.A. in Finance and Marketing from the Stern School of Business at New York University and his B.S. in Electrical Engineering from Columbia University.  Mr. Lam is a CFA Charterholder.
 

William W. Lee, Portfolio Manager, Convertible Securities

Mr. Lee joined Palisade Capital in 2006. As Portfolio Manager, Convertible Securities, Mr. Lee focuses on convertible securities with a concentration on Consumer Staples, Financials, Industrials (non-defense), Technology, Telecommunications and Utilities.

Prior to joining Palisade, Mr. Lee was a Portfolio Manager at Loxias Fund Management focusing on capital structure arbitrage. His previous experience includes corporate development/principal investing at Sony Corporation of America, investment banking at Lehman Brothers and investment research at Delphi Management. Mr. Lee earned his M.B.A in Finance from the Stern School of Business at New York University and his B.A. in Biology from Yale University.

 

Mitchell Leung, CFA, Senior Vice President of Convertible Securities

Mitchell Leung joined Palisade Capital in July 2011 as Senior Vice President of Convertible Securities.  Mr. Leung’s responsibilities include security selection for both the long only and convertible arbitrage portfolios with a focus on the technology sector.  Mr. Leung reports to the Managing Director of Convertible Securities.

Prior to joining the firm, Mr. Leung worked at Twenty-First Securities where he was a derivatives trader.  In this role he was responsible for modeling, pricing and trading listed and OTC equity option strategies.  Prior to Twenty-First Securities, Mr. Leung worked at Wachovia where he was a senior proprietary trader in convertible securities.

Mr. Leung is a CFA Charterholder. He received his M.B.A. in finance from Columbia Business School, his M.A. in Mathematics from Columbia University, and his B.S. with distinction from Cornell University.

Dan MacMillan, Trader

Dan MacMillan joined Palisade Capital in March 2009 as an equity trader specializing in Separately Managed Accounts, Unified Managed Accounts and equity trading for the firm's institutional clients. Mr. MacMillan is responsible for the oversight and day-to- day management of SMA and UMA operations; including trading, administrative, portfolio accounting, performance and client service functions for these sponsor programs.

Prior to joining Palisade, Mr. MacMillan was a Vice President at AG Asset Management in charge of the SMA and UMA trading. Prior to AGAM, Mr. MacMillan was a Portfolio Administrator with KLS Professional Advisors Group, where he was responsible for the operational functions for the financial advisor.

Mr. MacMillan received his B.S. in Management with a concentration in Finance and MIS from the State University of New York at Binghamton.

Eva Madha, Marketing Associate

Ms. Madha joined Palisade Capital in April 2008. As Marketing Associate, Ms. Madha is responsible for completing RFPs and for developing, preparing, revising and maintaining marketing materials, competitive analyses and lead generation. In addition, she will work with consultants to ensure that information regarding Palisade in consultants' databases is kept current.

Prior to joining Palisade, Ms. Madha was a Marketing and Data Analyst at Bear Stearns. Previous to that, Eva worked eight years at Merrill Lynch, her last position being Request for Proposal Analyst. Ms. Madha has successfully completed Level 1 of the CFA Program. She received her Aerospace Engineering Masters from Parks College, Cahokia, IL and her B.S. in Aerospace Engineering Technology from Cal State Polytechnic, Pomona, CA.

Allen R. Margolius, Associate Portfolio Manager and Senior Vice President of Research

Mr. Margolius joined Palisade Capital in February 2009. As Associate Portfolio Manager and Senior Vice President of Research, Mr. Margolius' current responsibilities include assisting in the daily management of the firm's small cap growth portfolio.

Prior to joining Palisade, Mr. Margolius was a Managing Director at AG Asset Management for five years and assisted with the management of a $1B small cap growth portfolio. Prior to AGAM, Mr. Margolius spent four years at Credit Suisse Asset Management, where he was an Associate Portfolio Manager and Equity Research Analyst. Allen began his career at JP Morgan & Co., Inc. where he worked in Emerging Markets Debt Restructuring as an Interest Bond Specialist from 1992 to 1995.

Mr. Margolius received his M.B.A. from The Wharton School with a finance major, and his B.A. from SUNY Binghamton where he was a political science major and graduated with honors.

Jim Marrone, Managing Director, Head of Institutional Sales and Investor Relations

Jim Marrone joined Palisade Capital Management in November 2012. As Managing Director, Head of Institutional Sales and Investor Relations, Mr. Marrone will lead Palisade’s institutional sales, marketing, and client service departments.  

Mr. Marrone joined Palisade with 20 years of sales experience in investment management, having sold equity and fixed income strategies, as well as hedge funds and private equity.  Mr. Marrone was most recently at Archstone Partnerships, a multi-strategy hedge fund of funds, where he was Managing Director of Institutional Sales and Services.  Previously, Mr. Marrone was Chief Executive Officer and Head of Business Development at Capital Z Asset Management, where he oversaw product development, distribution, and marketing for this alternatives manager seeding platform.  Prior to Capital Z, Mr. Marrone was at Bear Stearns Asset Management, where he was Senior Managing Director – Corporate Business Head, Institutional Business Development.  During his ten years at Bear Stearns, Mr. Marrone led a team and marketed directly to consultants, US pension plans, insurance companies, endowments, foundations, and financial institutions.  Prior to Bear Stearns, Mr. Marrone was Senior Vice President, Partner and Director of Marketing at Capital Management Associates, where he established the firm’s national marketing and sales strategy for the firm’s small cap and mid cap equity strategies.  Mr. Marrone also spent 13 years in banking at Westpac Banking Corporation and Chase Manhattan Bank. 

Mr. Marrone received his B.A. in Economics from the College of Holy Cross.

 

Jonathan A. Masarof, Vice President of Risk Management & Portfolio Analysis

Jonathan A. Masarof joined Palisade Capital in June 2010, as Vice President of Risk Management & Portfolio Analysis.  Jonathan’s responsibilities include firm-wide risk measurement and management, GIPS compliance, attribution and portfolio analytics, and performance measurement.
 
Prior to joining Palisade, Mr. Masarof was the Investment Risk and Performance Manager at Clay Finlay, where he managed risk and performance measurement for the firm’s global equity products.  Previous to Clay Finlay, Jonathan was at Brown Brothers Harriman, where he was a Quantitative Performance and Financial Analyst for their international equity group.
 
Jonathan received his B.A. in Journalism from the University of Rhode Island.
 

Mahendra Misir, Managing Director of Operations

Mr. Misir joined Palisade Capital upon its formation in 1995, and has worked with the founding Principals since 1991. As Managing Director of Operations, Mr. Misir is responsible for the firm's accounting and reconciliation unit. Mr. Misir and his team work closely with Portfolio Managers to assure that all of Palisade's clients' needs are satisfied. Mr. Misir received his B.A. in Mathematics from the City University of New York.

Kris Tomasovic Nelson, CFA, Senior Vice President of Research

Ms. Nelson joined Palisade Capital in February 2009 as Senior Vice President of Research. With over nine years of investment experience, Ms. Nelson is a strong asset to the Firm's small, smid and mid cap growth equities team. As a Senior Vice President of Research, Ms. Nelson's responsibilities include covering the Technology, Telecommunications, Education and Restaurant Industries.

 

Prior to joining Palisade, Ms. Nelson was a Director of AG Asset Management's small cap growth team for five years. Prior to that, Ms. Nelson worked at ABN AMRO for two years as a Research Associate in the Industrial Manufacturing and Technology Group and as a Research Assistant in the Telecom Equipment Group.

 

Ms. Nelson is a CFA Charterholder. She received her B.S. from Villanova University in Accounting and then taught English in Japan for the Japan Exchange and Teaching Program for two years. Ms. Nelson has also achieved Level III Certification on the Japanese Proficiency Exam.

 

Garo Norian, Senior Vice President of Research

Garo Norian joined Palisade Capital on August 2, 2012 as Senior Vice President of Research, reporting to Marc Shapiro, Senior Portfolio Manager of Small Cap Core securities.   Mr. Norian will cover the industrials and material sectors for the Small Cap Core portfolio.

Prior to joining Palisade, Mr. Norian was at Blackrock where he was an equity analyst, supporting both the mid-cap and small –cap investment teams.   Prior to Blackrock, Mr. Norian worked at State Street Research and Management, and at J.P. Morgan.

Mr. Norian received his M.B.A. in Investment Management and Accounting from Columbia Business School and his B.A. in Economics and East Asian Studies from Stanford University.  Mr. Norian is also a CFA Charterholder.

 

Sammy Oh, Managing Director and Senior Portfolio Manager

Mr. Oh joined Palisade Capital in February 2009 as Managing Director and Senior Portfolio Manager of the Firm's small and smid cap growth equity portfolios and is a member of the Investment Policy Committee.

Prior to joining Palisade, Mr. Oh spent five years as Managing Director and Portfolio Manager at AG Asset Management (formerly known as ForstmannLeff) and seven years as Credit Suisse Asset Management where he was also a Managing Director.

Mr. Oh began his career as a Financial Analyst at Oracle Corporation. After business school, he joined ForstmannLeff as an Equity Analyst and then moved on to be an Associate Portfolio Manager of small cap U.S. equities at Bessemer Trust. Mr. Oh joined Warburg Pincus in 1997 and moved on to Credit Suisse Asset Management when it acquired Warburg Pincus. In 1998, he was named Co-Portfolio Manager of the small cap growth product and in 2001 he also became Co-Portfolio Manager of the smid growth and mid cap growth products.

Mr. Oh received his M.B.A. from the Amos Tuck School at Dartmouth University and his A.B. from Stanford University.

 

Bernard J. Picchi, CFA, Managing Director Private Wealth Management, CFA

Mr. Picchi joined Palisade Capital in July 2009 after a 30-plus-year investment career.

Prior to his joining Palisade, Mr. Picchi worked as an analyst and consultant for several mid-sized broker/dealers and investment advisory firms.

From 1980 to 1999, Mr. Picchi was an All Star rated energy analyst at Salomon Brothers, Kidder Peabody, and Lehman Brothers, where he also served as Director of US Stock Research. On the institutional side of the investment business, Mr. Picchi was sole manager of the 5 star rated, $1.5 billion Capital Appreciation Fund of Federated Investors, where he served as US Director of Research from January 2000 to June 2002.

A graduate of Georgetown University's School of Foreign Service, Mr. Picchi is also a CFA Charterholder. Mr. Picchi speaks frequently on energy and investment topics for Bloomberg, CNBC and the New York Society of Security Analysts.

Wendy S. Popowich, Managing Director of Private Wealth Management

Ms. Popowich joined Palisade Capital in 2004. Prior to joining Palisade, Ms. Popowich worked for 21 years at the U.S. Trust Company as a Senior Portfolio Manager and Managing Director of the Personal Wealth Division. During her tenure, she managed assets for high net-worth individuals and was the sole portfolio manager of the Excelsior Global Competitors Fund. Ms. Popowich served on the Investment Policy Committee and was a member of the Client Service Task Force. Ms. Popowich received her M.B.A. from New York University and her B.B.A. in Finance from The George Washington University.

William L. Potter, Managing Director and Senior Portfolio Manager

Mr. Potter joined Palisade Capital in February 2009 as Managing Director and Senior Portfolio Manager responsible for the Firm's mid cap growth equity portfolio, and is a member of the Investment Policy Committee.

Mr. Potter came to Palisade with the growth team from AG Asset Management (formerly ForstmannLeff), where he was Managing Director and Portfolio Manager, having joined the team there in 2002.  Previously, he was an equity research analyst for ten years with ABN AMRO (formerly ING Barings, and Furman Selz), Alex. Brown and Wertheim Schroder.  Mr. Potter’s research on the industrial sector was recognized in several published surveys, including Institutional Investor’s All American Research Team  and The Wall Street Journal's Best on the Street.  From 1988 to 1992 Mr. Potter worked in venture capital at Safeguard Scientifics where he led private financings for, and served on the boards of several companies that subsequently went public.  Mr. Potter began his career in commercial banking in 1982 at Manufacturers Hanover Trust and Chemical Bank before going to graduate school. 

Mr. Potter received his M.B.A. from The Wharton School of the University of Pennsylvania, and his B.B.A. from Emory University.   He currently serves on the Board of Overseers for the University of Pennsylvania Museum of Archaeology and Anthropology.

Caroline Redmond, Assistant VP, Investor Relations

Caroline Redmond joined Palisade Capital in August 2010. As Assistant VP, Investor Relations, Ms. Redmond's responsibilities include initiating and updating marketing materials and databases, completing RFPs, competitive analysis, sales support, and client service.
 
Prior to joining Palisade, Ms. Redmond was the Associate, Business Development and Client Relations at Aetos Capital, where she was responsible for maintaining client relationships and developing marketing materials. 

Ms. Redmond received her Bachelor of Science in Business Administration from Villanova University.

Jason W. Rich, Vice President, Private Equity

Mr. Rich joined Palisade Capital in March, 2008. As a Private Equity Associate, Mr. Rich is responsible for analyzing, structuring, and negotiating potential investment opportunities and assisting with monitoring the existing portfolio companies.

Prior to joining Palisade, Mr. Rich was Vice President and Chief Financial Officer of Regus Industries, LLC where he was responsible for overseeing the corporate finance, business development, treasury and accounting functions of the company. Prior to Regus, Jason was at First Broadcasting, LLC in Dallas and TD Securities' Media & Communications Investment Banking Group in New York. Mr. Rich received his Bachelor of Science degree from Providence College where he graduated Magna Cum Laude.

Ivana Rosenberg, Associate, Investor Relations and Marketing

Ivana Rosenberg joined Palisade Capital on June 24, 2014 as Investor Relations and Marketing Associate.  In this role, Ms. Rosenberg will focus on client support and investor relations for Palisade's institutional clients.  Ms. Rosenberg will report to Jim Marrone, Managing Director, Head of Institutional Sales and Investor Relations.

 
Prior to joining Palisade, Ms. Rosenberg worked at Gargoyle Asset Management where she was a Marketing Manager.  Prior to Gargoyle, Ms. Rosenberg worked at Dearborn Capital Partners where she was a Relationship Manager and at Life Product Clearing and Globe Tax Services.
 
Ms. Rosenberg received her B.A. in Economics from Brandeis University and her M.B.A. in Marketing and Management from New York University Stern School of Business. 

Mario N. Sasso, Trader

Mr. Sasso joined Palisade Capital in 1995. As Trader, Mr. Sasso places portfolio trades in accordance with Palisade's best execution policy. Prior to joining Palisade, Mr. Sasso was a federal funds trader and euro dollar trader for off shore accounts. He received his B.A. in business management from St. Peters College in Jersey City.

Marc H. Shapiro, Senior Portfolio Manager

Mr. Shapiro serves as the Senior Portfolio Manager for Palisade’s Institutional Small Cap Core Equity strategy and is a member of the Firm’s Investment Policy Committee.  Prior to his promotion to Senior Portfolio Manager in March 2012, Mr. Shapiro was Associate Portfolio Manager and Senior Vice President of Research for the strategy, with lead research responsibility for a number of sectors, including Information Technology and Telecom Services.
 
Prior to joining Palisade in March 2004, Mr. Shapiro was a Portfolio Manager/Analyst at Awad Asset Management and a small cap analyst at Schroders. Mr. Shapiro received his M.S. in Finance from Drexel University and his B.S. in Finance from the College of New Jersey.

 

Shiv Sharma, Associate - Private Equity

Shiv Sharma joined Palisade Capital on March 10, 2014 as an Associate in the Firm’s Private Equity department.  Mr. Sharma’s responsibilities include the monitoring of existing portfolio investments, building and maintaining financial models and monetization waterfalls, and preparing reports for limited partners.  He will report to the Managing Director of Private Equity, James Jahnke.

Prior to joining Palisade, Mr. Sharma was at RBC Capital Markets, where he was an investment banking analyst in their Technology Group.  Prior to RBC, Mr. Sharma worked at PNC Bank where he was a Corporate Finance Analyst.

Mr. Sharma received his M.S., Commerce in Financial Services from the University of Virginia, and his B.A. in Economics and Commerce from Hampden-Sydney College. Mr. Sharma also completed the General Course Program from the London School of Economics. 

Scott Snyder, Vice President of Business Development

Scott Snyder joined Palisade in June 2012 as Vice President of Business Development, reporting to Jim Marrone, Managing Director, Head of Institutional Sales and Client Services.  Mr. Snyder’s responsibilities  include the development of Palisade’s overall intermediary accounts strategy, directing all intermediary distribution efforts, and overseeing Palisade’s sales and marketing efforts in the sponsor/platform space.
 
Prior to joining the firm, Mr. Snyder worked at Estabrook Capital Management where he was the Director of Marketing.  In this role he was responsible for sales and marketing for the firm.  Mr. Snyder began his investment career in 1991 as a financial planner.  Mr. Snyder has held intermediary and institutional sales and marketing positions at Nationwide Financial, Goldman, Sachs & Co., and Prudential Investments.
 
Mr. Snyder received his B.S. from the University of Vermont.  Mr. Snyder is also a Certified Investment Management Analyst (CIMA®).

Elliot B. Stiefel, CFA, Managing Director and Senior Portfolio Manager

Mr. Stiefel joined Palisade Capital in 2004 and is a member of the Investment Policy Committee. Mr. Stiefel is the portfolio manager for both the firm's institutional convertible portfolios and convertible arbitrage funds.

Prior to joining Palisade, Mr. Stiefel was a Portfolio Manager at Cameron Capital Management. Prior to Cameron, he managed portfolios and held trader/analyst positions at Jamie Securities, Dean Witter Reynolds, LIT America and Clinton Group. Mr. Stiefel is a CFA Charterholder. He received his M.S. in Investment Management from Pace University and earned a B.S. in Finance from the University of Maryland.

 

Donna Szczupak, Staff Accountant

Donna Szczupak joined Palisade Capital in April 2013 as a Staff Accountant.  Ms. Szczupak’s responsibilities include bookkeeping, payroll, and assisting the Chief Financial Officer and Chief Operating Officer in preparing analyses and reports. Ms. Szczupak reports to Palisade Capital’s Chief Financial Officer.
 
Prior to joining the Firm, Ms. Szczupak worked at JW Pet Company, where she was the Controller and General Manager.  Prior to JW Pet Company, Ms. Szczupak worked at Willinger Bros., Inc., where she was the Sales and Marketing Coordinator and later advanced to the position of Marketing Manager. 
 
Ms. Szczupak received her M.B.A. in Marketing from Fairleigh Dickinson University, and her B.A. in Government and Law from Lafayette College.


 

Barbara Taback, Vice President of Administration

Ms. Taback joined Palisade Capital in 2002. As Vice President of Administration, Ms. Taback is responsible for human resources, special projects and office management.

Prior to joining Palisade, Ms. Taback was the office manager at the investment advisor firm Stechler & Company. She received her B.S. in Education from the University of Cincinnati.

 

Brian Zimmerman, Associate Portfolio Manager and Senior Vice President of Research

Mr. Zimmerman joined Palisade Capital in February 2009 as Associate Portfolio Manager and Senior Vice President of Research, and is a member of the Firm's small, smid and mid cap growth equities team. With fifteen years of investment management experience, his industry breadth and extensive fundamental research skills, philosophy, process and culture makes him a significant contributor to Palisade's research efforts.

Prior to joining Palisade, Mr. Zimmerman was a research analyst at AG Asset Management, where he worked since 2005. Prior to AGAM, Mr. Zimmerman was a Research Analyst at MSW Asset Management.

Mr. Zimmerman received his B.S. in Business Administration from Old Dominion University and is a member of the New York Society of Security Analysts and the National Association of Petroleum Industry Analysts.