EDMUND (SKIP) CARPENTER

*** ***** **** ****, *******, NY 10506

917-***-**** acgag4@r.postjobfree.com

Royal Capital Management, LLC 2013 – 2014

Managing Director - Investor Relations & Marketing: Oversee all investor relations and marketing functions for

Royal Capital, a long / short equity hedge fund executing a deep value investment focus. Most recently filed ADV Part

2A lists fund’s AUM at $469 million as of 1/31/13.

Client base consists of ~150 relationships comprising of institutions, endowments & foundations, fund of funds,

•

single & multi family offices, ultra high-net worth individuals and various consultant firms.

Responsible for all written marketing product and external communication to clients and prospective investors.

•

Marketing product includes Monthly Performance Results, Quarterly Investor Letters, Monthly Portfolio Profile,

Attributions Performance, Mid-Month Performance Update for certain clients and the fund’s presentation deck.

Perform monthly and quarterly investor conference calls on performance, portfolio structure and business trends.

•

Several discussions are pre-scheduled calls with various consultant firms and broker dealer platforms.

Supervise, schedule and coordinate domestic and international marketing trips. 2013 trips included: Boston, New

•

York, London, Washington DC, Connecticut, Los Angeles, San Francisco and Atlanta.

Oversee external distribution database with ~2,000 contacts. Contacts are segmented based on existing clients,

•

former investors, active prospects and tracking contacts of the fund’s performance.

Utilize Clienteer, a CRM system, to assist in the effectiveness of client interaction and information flow.

•

Responsible for additional marketing material consisting of Monthly, Quarterly and YTD attributions reports of the

•

portfolio, sector and geographic performance breakdown analysis - long and short of the portfolio, historical statistics

(net return, exposures and attribution), AUM monthly statistics. Monitor and maintain a database of portfolio

positions, top 10 long / short positions and quarterly stock drivers.

Actively engage with both senior and junior research analysts. Review all research reports. Maintain position price

•

targets spreadsheet that corresponds with bull, base and bear case objectives and impact portfolio.

Update and manage external requested databases for key clients, consulting firms and other fund of funds.

•

Coordinate with fund’s CFO, Controller and fund administrator (IFS State Street) regarding capital inflow and

•

outflow, redemption schedules, side agreement letters and investor website.

Work with external investment manager of a multi-strategy composite fund to develop an investment vehicle of 10

•

established single strategy hedge funds. Additionally, explored opportunities such as 40 Act Fund with other

external organizations.

Execute the fund's daily portfolio performance results and reconcile daily trade activity. Coordinate the review with

•

head trader. Review each separate fund results - LP, QP and Ltd in ensuring trade activity corresponds with prime

brokers and internal cash movement.

Maintain fund's Due Diligence Information Documentation for both prospective and existing clients.

•

Work with fund’s administrator for clients’ monthly statements and annual tax forms (K1 statements).

•

Maintain weekly marketing activity spreadsheet for the fund’s general partners and portfolio managers.

•

Attend and seek appropriate investor conferences and industry seminars.

•

JTVIR, LLC (John Tumazos Very Independent Research) 2010 – 2012

Managing Director – Institutional Sales: JTVIR is an independent boutique research firm conducting fundamental

research and analysis on the global commodities, metals, mining, natural resources, and forestry sectors.

Institutional Sales & Marketing Manager – Supervise 45 institutional clients comprising of traditional mutual fund

•

firms and hedge funds. Primary responsibilities include establishing, maintaining and growing client relationships as

well as developing and implementing an overall marketing strategy. Daily duties included communicating stock and

sector action ideas; overseeing independent sales reps; setting up analyst marketing calendar and events;

coordinating client vote systems; prospecting new clients; and managing subscription payment process via hard

dollars or soft dollar commission flow. Created and maintain a database for prospective institutional clients. JTVIR

publishes ~ 20 monthly research reports. Maintained series 7, 63 & 65

Corporate Access Role – Manage non-deal road shows and corporate management team meetings for our

•

institutional clients and prospective clients.

Conference Director – Supervise two annual corporate conferences comprising of ~ 50 companies, ~ 150

•

institutional investors. Responsibilities include coordinating corporate participants, monitoring presentations, and

establishing one-on-ones meetings between institutional clients and presenting management teams.

Third Party Strategic Relationship Supervisor – Key player in establishing JTVIR as an independent research

•

provider for various agency brokerage businesses - Bloomberg Tradebook, ConvergEx and State Street Pulse.

Chief Compliance Officer / Regulatory Role – Handle regulatory fillings with agencies such as FINRA and the

•

State of NJ as our firm is a registered investment advisor. Administer and process customer agreement contracts

MORGAN STANLEY 2004 – 2010

Corporate Client Director & Executive Financial Services Specialist

Corporate & Institutional Business

Designated Corporate Client Director within Morgan Stanley Smith Barney merger – Out of 8,000 advisors 1 of 16

•

selected as this designation

Specialize in servicing corporate clients with institutional products; stock plan services, block trades, restricted stock

•

transactions, concentrated positions, share repurchase programs and 10b5-1 trading programs.

Corporate clientele; W.R. Berkley Corporation, Jarden Corporation, GIII Apparel Group, Jones Soda and Orbcomm.

•

Total asset value under management for corporate stock and equity-based plans of ~ $300 million. Total number of

individual clients ~ 1,800.

Organize a national sales and marketing effort, which targeted companies with market cap of $100 mm to $5 billion.

•

Coordinate and cross-sell other business units including investment banking, institutional corporate marketing,

•

capital markets and third party strategic partners to service a wide range of clients’ financial and strategic needs.

Private Wealth Management Business

Manage clients’ portfolio with an emphasis on separately managed accounts of preferred independent fund

•

managers within a comprehensive financial configuration. Retail assets under management value of ~$50 million.

Implement wealth strategies for affiliated executives, high net worth individuals, and family groups to meet investors’

•

objectives, needs and risk tolerance via an appropriate strategic and tactical asset allocation solution.

As a Rule 144 Specialist, designated to assist control persons or insiders, foundations, charities, trusts, estates,

•

universities and other organizations with restricted or control share positions.

THOMAS WEISEL PARTNERS (STIFEL FINANCIAL CORP) 2001 – 2004

Principal / Senior Research Analyst – Restaurants, Beverage & Branded Consumer Sectors

Key player in establishing a wide-ranging branded consumer equity research franchise across the restaurant,

•

beverage, food, and other related branded consumer industry sectors by coordinating the re-creation and build-out

of a consumer research group at TWP with senior management

Provide disciplined stock recommendations and sector evaluation to a wide ranging institutional investor base

•

Offer value-added insight and analysis on industry, consumer and company trends in detecting profit impact on

•

corporations within sector coverage

Methodically assess financial impact from acquisitions, divestitures, financing activity, and corporate strategies on

•

both near and long term financial performance and returns on invested capital.

Act as key interface to senior corporate management teams to orchestrate various client services activities that

•

include management visits, industry conferences and non-deal roadshows.

CREDIT SUISSE GROUP 1992 – 2001

DONALDSON, LUFKIN & JENRETTE

Vice President / Senior Equity Research Analyst - Beverage Sector: 1996-2001

Selected as one of 20 senior analysts retained by Credit Suisse First Boston from Donaldson, Lufkin & Jenrette after the

completion of the merger between the two organizations

Designated as one of the senior analysts with the strongest franchise momentum and institutional traction in 2000

•

and 2001 by the U.S. institutional equity salesforce

Coordinated a global beverage research platform with our European beverage research effort to provide an

•

extensive industry perspective in written, marketing and stock selection recommendations

Extensive annual marketing campaigns to both domestic and international investor base: 80-90 days of travel

•

Average annual publication effort: 50-60 company and industry reports

•

Conduct bottoms-up fundamental equity research involving extensive financial modeling, discounted cash flow

•

analysis, balance sheets examination, and asset valuation in assessing potential differences between existing

valuation levels and return expectations

Institutional Investor Research Poll: ranked #7 in 2001, #5 in 2000 and #10 in 1999

•

Greenwich Associates: ranked #5 in 2001, #7 in 2000 and #9 in 1999

•

Wall Street Journal All-Star Analyst – 1998 and 2000

•

Research Coverage Universe:

Beverages

Anheuser-Busch, Boston Beer, Cadbury Schweppes, Coca-Cola Co, Coca-Cola Enterprises, Constellation Brands,

Green Mountain Coffee, Molson Coors, PepsiAmericas, Pepsi Bottling Group, PepsiCo, Robert Mondavi,

Restaurants

Applebee’s, Brinkers International, Cheesecake Factory, Darden Restaurants, Krispy Kreme Doughnuts, Landry’s

Restaurants, Outback Steakhouse, Panera Bread, Peet’s Coffee & Tea, Starbucks

Senior Research Equity Analyst - Packaging & Container Sectors: 1995 – 1997

Promoted to senior analyst position with coverage responsibility of the packaging and container sector

•

Research coverage included: ACX Technologies, Ball Corporation, Bemis Company, Crown Cork & Seal, Owens-

•

Illinois, Sonoco Products and Vitro S.A.

Equity Research Associate - Metals & Mining Sectors: 1992-1995

Personal & Household Products / Apparel & Textile Sectors

Top ranked associate in a pool of 35-40 candidates

•

Worked along with senior equity analysts in coverage of companies within their respected franchises

•

Leveraged the analysts’ capability by assisting in their research effort, which included written reports and

•

communication and marketing of stock recommendations to institutional salesforce and client base

Key associate in assisting senior research management in overseeing and managing pool of associates

•

MANUFACTURERS HANOVER TRUST CO. 1988-1990

Senior Credit Analyst

Assessed financial status and credit worthiness of major corporate clients throughout financing process

•

Structured corporate financing proposals as well as monitored existing bank requirements and covenants

•

Completed extensive internal credit training program

•

EDUCATION

UNIVERSITY OF MICHIGAN - School of Business Administration

Master of Business Administration, Finance - 1992

•

DUKE UNIVERSITY

Bachelor of Arts, English – 1988

•

Contact this candidate