Nicholas Investment Partners

Investment Team

Catherine Nicholas, Managing Partner & Chief Investment Officer

Catherine Nicholas is Managing Partner/Chief Investment Officer and co-founder of Nicholas Investment Partners. As Managing Partner, Catherine sets the direction of the firm with the other partners. As Chief Investment Officer, Catherine leads the investment team and is responsible for the strategic development and day-to-day implementation of investment research, security selection, portfolio management and risk management process. As part of her role, she is a generalist in research coverage and also teams with technology specialist, Emmy Sobieski. Catherine is the lead portfolio manager for US Small Cap and US Growth Equity as well as the back-up portfolio manager for Convertibles/Convertibles Arbitrage. She has over 30 years of investment experience.

Catherine previously served as the Global Chief Investment Officer of Nicholas-Applegate Capital Management (NACM) until the firm’s sale to Allianz in January 2001. While at NACM, Catherine led the firm’s investment teams including U.S., International, Emerging Markets, Systematic Equity, Convertibles and High Yield, and was the architect of its Global Equity, Global Select, Global Small Cap, Global Healthcare and Global Tech portfolio management strategies. As CIO, Catherine applied quantitative tools and techniques to assist with the firm’s fundamental stock research. After the firm’s sale, Catherine served on the NACM Executive Committee and the Allianz Dresdner Asset Management US Equity Committee. Before assuming the position of Global Chief Investment Officer in 1997, Catherine served six years as Lead Portfolio Manager of all US Equities. While in this role, she developed international and emerging market strategies applying the firm’s philosophy and approach that had been successfully used in capturing opportunity in US markets. After joining NACM in 1987 as an analyst, Catherine was quickly promoted to Lead Portfolio Manager of US Small and Mini Cap Growth products, which she managed until 1997.

Previously, Catherine was Vice President at Professional Asset Securities, where she focused on analyzing financial institutions, and served as a research analyst at Pacific Century Advisors. 

Catherine currently serves on the advisory board of the USC Marshall School of Business and the investment committee of Rady Children's Hospital. She is also on the board of the America Quarter Horse Foundation. She previously served on the investment committees of Francis Parker School, Scripps Hospital and the San Diego County YMCA. She earned her B.S. in Business Administration, cum laude, and her M.B.A. in Finance from the University of Southern California.

 

John Wylie, Partner/Portfolio Manager

John Wylie is a Partner and Portfolio Manager. He contributes to the research process as a generalist. John is the lead portfolio manager for Convertibles and Convertible Arbitrage and is Catherine’s back-up portfolio for US Small Cap and US Growth Equity. 

Prior to joining Nicholas Investment Partners in 2007, John was co-founder and Co-Chief Investment Officer of CapitalWorks Investment Partners where he was the lead portfolio manager for Convertible Arbitrage and Micro Cap strategies. Prior to 1998, John was President of Nicholas-Applegate Securities Mutual Funds and Chief Investment Officer of their Investor Services Group. Previously, he was the Lead Portfolio Manager of the Growth & Income team at Nicholas-Applegate Capital Management (NACM) and was directly involved in the management of convertibles, convertible arbitrage, fixed income, and balanced portfolios. 

Before joining NACM in 1987, he worked with Metropolitan Life Insurance Company for six years. John earned his B.A. in American Studies, cum laude, from Amherst College. He currently serves on the investment committee of La Jolla Country Day School and Sharp Healthcare. He previously served in the board and investment committee of the San Diego Foundation. John has over 30 years of investment experience. 

 

Lisa Wheatley

Lisa Wheatley, Partner/Senior Research Analyst

Lisa Wheatley, Partner, Senior Research Analyst and Portfolio Manager, joined the firm in February 2014. Lisa is the lead portfolio manager for Healthcare Opportunities. She also contributes to the investment team’s fundamental research and due diligence process as a specialist in the healthcare sector, given her extensive experience and contacts in medical devices, genetic testing and biotech.

 

Previously, Lisa spent five years as Co-Head of M&A at Life Technologies Corporation, a NASDAQ-listed life science company with $14 billion in market capitalization, later acquired by Thermo Fisher Scientific. In this role, she was responsible for analysis and recommendations of potential mergers, acquisitions, divestures, equity investments and other strategic partnerships for the management team thereby gaining valuable insight in the healthcare sector, especially genetic testing, drug discovery and development, and medical devices. Prior to that, she was an Investment Analyst and Deal Originator at Silver Point Capital, an Associate at Tennenbaum Capital Partners, and an Associate with Oaktree Capital Management’s high yield research team.

 

She started her career as an Analyst in J.P. Morgan’s Leveraged & Syndicated Finance Group. She earned a B.A. in Economics and a B.S. in Business Administration with a Finance concentration from the University of Richmond. Lisa has 16 years of investment experience.

 

Emmy Sobieski

Emmy Sobieski, CFA Senior Research Analyst

Emmy Sobieski joined Nicholas Investment Partners as Senior Research Analyst in April 2013. She contributes to the fundamental research process with her extensive investment experience and contacts covering the technology sector. Emmy works part-time and teams with CIO Catherine Nicholas on technology research coverage. She previously worked with CIO Catherine Nicholas at Nicholas-Applegate Capital Management (NACM) where she was a key contributor to NACM’s global research team as the research specialist for US mid-cap and Asian technology companies.     

Her subsequent investment experience includes serving as Vice President and Senior Director of Oppenheimer Funds. She provided research coverage for $6 billion in technology holdings for several of their strategies including mid cap and convertibles. Prior to Oppenheimer Funds, she was a senior analyst at Palantir Capital focusing on small- to mid- cap technology stocks. She began her investment career at Farmers Insurance as an analyst for $500 million in global technology investments and Asia-Pacific equities as well as a credit analyst covering the technology, energy, and pulp and paper sectors. 

Emmy is a member of the Economics Leadership Council at UCSD and a former partner of San Diego Social Venture Partners, a venture philanthropy organization. Emmy earned her B.A. in Economics from the University of California, San Diego, and her M.B.A. with an emphasis in Finance from the University of Southern California. She has earned the right to use the Chartered Financial Analyst designation. Emmy has 18 years of investment experience.

 

Art Nicholas

Maxime Zondlowski, Quantitative Analyst

Maxime Zondlowski joined Nicholas Investment Partners in April 2015 as a Quantitative Analyst. He contributes his analytic expertise to our firm’s proprietary research model which identifies potential investment ideas for further fundamental research as well as evaluates current holdings. He also supports the risk management process utilized in our equity and convertibles strategies.

Maxime’s previous investment experience includes being a Quantitative Analyst at Quantitative Services Group, a quantitative research provider and consultant to investment firms. His responsibilities included evaluating and enhancing global and US multi-factor alpha models and conducting research on industry-specific models, fundamentally oriented factors in developed and emerging markets, volatility spreads and economic signals.

He also served as a Quantitative Analyst at Investment Science Corporation. While at Investment Science, Maxime led initiatives to improve multi-factor models using strategy simulations and forecast modeling. In addition, he reviewed portfolio construction, provided performance attribution, monitored portfolio risk and initiated the development of risk measures for option portfolios.

Maxime’s quantitative skills were further utilized in the biotech and software industries. He was a scientific data analyst consultant for Genentech and Thermo Fischer Scientific. In this role, he was responsible for the design and implementation of MATLAB software applications and developed optimization algorithms to extract data from genetic databases. In addition, he worked for Siemens’ enterprise software solutions division and a software consulting firm.

Maxime earned a B.S. and M.S. in Physics from the Université des Sciences et Technologies in Lille, France and a European Union Fellowship award for doctoral studies at the National Institute of Nuclear Physics (INFN) in Genoa, Italy. He has 12 years of quantitative analytic experience.

 

TonyPata

Anthony Pata, Research Analyst

Anthony Pata, Research Analyst, was added to the investment team as a research analyst focusing primarily on convertible strategies in December 2014.  He also serves as the firm’s back-up trader. Prior to his role on the investment team, Tony was a Compliance/Operations Analyst responsible for compliance surveillance and operational support of our investment strategies. He was also previously an intern at Nicholas Investment Partners from May 2012 to September 2013. His prior experience also includes an internship at Cdex Inc. supporting inventory management and purchasing of medical equipment components.

He earned a B.S. in Mathematics, magna cum laude, from Point Loma Nazarene University.  Tony passed the CFA Level III exam in the summer of 2015.  He has 3 years of institutional experience.

 

Alex Reison

Alex Reison, CFA Partner/Head Equity Trader

Alex Reison, Equity Trader, joined Nicholas Investment Partners in July 2006 as an Analyst and Assistant Trader.  He was promoted to Equity Trader in 2009.   In addition, Alex prepares risk measurement and attribution reports for the portfolio management team.   He earned his B.A. in Economics, cum laude, with certificates in Finance and Political Economy from Princeton University.  He has 8 years of investment experience and has earned the right to use the Chartered Financial Analyst designation. 

  

 

Art Nicholas

  Arthur Nicholas, Partner/Adviser

Art Nicholas is a Partner and co-founder of Nicholas Investment Partners. Art serves as an advisor to the portfolio management and research process as well as the firm’s business management on a part-time basis. Although he does not have day-to-day responsibilities in managing portfolios for all the firm’s offered strategies, he does provide the   investment team with additional equity market research support.

Previously, he co-founded Nicholas-Applegate Capital Management (NACM) in 1984, and served as Chairman and CEO until the firm’s sale to Allianz in January 2001.  An innovator throughout his career, Art applied his early discovery/change at the margin investment philosophy to establish many asset classes now common today such as Micro  Cap, Mid Cap and Global equity.  He also successfully extended this philosophy to the high yield, convertible and non-US markets. Among his contributions to investment disciplines, Art systematized the process of using dynamic quantitative models to find value-added performance. After the firm’s sale, Art served on the NACM Executive Committee and was a member of the Allianz Dresdner Asset Management Executive Committee.

Before founding NACM, Art was Managing Director and Chief Investment Officer at Pacific Century Advisors, an investment subsidiary of Security Pacific Corporation. In addition, he was First Vice President and Manager of the institutional accounts division at Security Pacific Bank.  Previously, he was a Senior Portfolio Manager at San Diego Trust & Savings Bank. 

He currently serves on the board and investment committee of the National Cowboy & Western Heritage Museum. Art earned his B.S. in Finance from San Diego State University and has over 40 years of investment experience.

Copyright by Nicholas Investment Partners 2016. All rights reserved.