Nicholas Investment Partners

Administration and Compliance

Chris Siriani, Partner/President/Chief Compliance Officer/Chief Operations Officer

Chris Siriani, Partner and President/Chief Compliance Officer/Chief Operations Officer, joined the firm in April 2011. As President, he oversees the development and implementation of the firm’s strategic business plan and operational management to provide the infrastructure necessary to deliver value-added long-term investment performance and outstanding client service, including investment operations, technology and finance. He also serves as the firm’s Chief Compliance Officer responsible for the establishment and enforcement of the firm’s compliance program, ensuring adherence to client guidelines and regulatory requirements. Previously, Chris was Director of Operations/Chief Compliance Officer of Freeman Investment Management Co, LLC (which merged with Investment Science Corporation) where he spearheaded compliance, operations, finance, facilities and HR functions. From 1998 to 2006, Chris advanced from Senior Performance Analyst to Director of Operations at Nicholas-Applegate Capital Management (NACM) where he led a 20-member staff across performance measurement, data administration and mutual fund operations for the firm. He established operational performance metrics to mitigate risk and improve processes. He also served on the firm's GIPS Pricing and Proxy Voting committees. Prior to joining NACM, Chris was a Senior Fund Accountant at Invesco AIM and Senior Mutual Fund Accountant at State Street Bank & Trust. Prior to entering the investment industry, he was an operations manager for two years at Hertz Rent A Car. Chris earned his B.A. in Economics from Boston College. He has over 20 years of investment industry experience and is a member of the CFA Society of San Diego.

 

 

Cathy Newcomb

Cathy Newcomb, Compliance Officer

Cathy Newcomb, Compliance Officer, joined the firm in November 2011. She supports the CCO in enforcing the firm’s compliance program, ensuring adherence to client guidelines and regulatory requirements. In addition, she oversees portfolio administration and supports operations. Previously, Cathy worked at Nicholas-Applegate Capital Management (NACM), where she spent 15 years making key contributions in operations, investment management support, and trading. After leaving NACM in 2002, she spent four years at CapitalWorks as Operations Manager and Head Trader for equities and convertibles, and three years with Freeman Associates (and its predecessor firm). She originally started her career at San Diego Trust & Savings Bank where she spent four years as a Trust Operations Administrator. Cathy earned her B.A. in Finance and Banking and M.Ed. from National University. Cathy has over 30 years of investment experience.

 

Betty Graham, Compliance/Operations Analyst

Betty Graham, Compliance & Operations Analyst, joined the firm in December 2014. She primarily provides back- and middle-office operations. In addition, she supports compliance surveillance. Previously, Betty worked at Nicholas-Applegate Capital Management (and its successor, Allianz Global Investors) for 13 years as Team Lead in Operations. Her prior experience includes Trading/Operations Assistant for 11 years at a commodity trading firm. Betty has over 30 years of experience in the investment industry across operations, reconciliation and portfolio administration.

     

 

Maureen Brown, Senior Administrator

Maureen Brown, Senior Administrator, joined the firm in March 2006. She is responsible for managing the firm’s office and acts as administrative liaison for clients. Prior to joining Nicholas Investment Partners, Maureen worked at Nicholas-Applegate Capital Management (NACM) as an office manager, supervisor and administrative assistant. She was also a secretary to the NACM Executive Committee and worked closely with senior members of the firm and their clients. Maureen has over 30 years of professional experience.

 

 

Copyright by Nicholas Investment Partners 2016. All rights reserved.