Management Manager

KENNETH J. FLEMING, MBA

*** ****** ****, ********* *** ~ Secaucus, New Jersey 07094

(617) 549 - 7060 *********@*****.***

QUALIFICATIONS

Top-performing finance research professional with fifteen years' experience

and a passion for analyzing financial information to produce forecasts of

business, industry and economic conditions for use in making sound

investment decisions. Possesses a background encompassing portfolio, risk

and front office management within growing entrepreneurial environments;

contributed to 2500% growth of Clipper Capital within 3 years. Excellent

communication and presentation skills; manages communication flow with

consultants, brokers, portfolio managers, senior management and clients

with and without strong financial backgrounds. Proficient in Microsoft

office, Capital IQ, Bloomberg, FactSet and numerous trading platforms.

Areas of expertise include.

( Quantitative / Qualitative Analysis ( Financial Modeling (

Portfolio / Risk Management

( Market Research / Strategic Analysis ( Earnings Models (

Investor Communications

( Discounted Cash Flow Analysis ( IPO Market ( Client

Relationship Management

SELECT CAREER ACCOMPLISHMENTS

FLEMING CAPITAL MANAGEMENT

. Built firm from ground floor to $2 Million in assets under management.

. Realized an audited return of +38% since inception (versus +5% for

benchmark Russell 2000) with minimal volatility and a gain of +20% in

2010.

CLIPPER CAPITAL

. Enabled the growth of assets under management from $2 Million in 2002 to

$50 Million in 2006.

. Reduced by 50% time for analysis: devised and implemented standardized

templates for analysts.

RENAISSANCE CAPITAL

. Delivered recommendations leading to +115% gain for IPO Plus Aftermarket

Mutual Fund (IPOSX) in its first full year in 1999.

. Recognized as Subject Matter Expert in IPO Market: frequently quoted in

the financial press including Barron's, The Wall Street Journal, The New

York Times and Investor's Business Daily.

PROFESSIONAL EXPERIENCE

FLEMING CAPITAL MANAGEMENT, New York, NY 2006 - Present

Investment firm with $2 Million in assets under management.

Founder / Portfolio Manager

. Builds, develops and maintains successful relationships with potential

clients and investors; determines all buy and sell decisions, manages

risk, executes trades and manages interaction with prime broker.

. Directs operation of a multi-million dollar long/short investment account

for Lookout Mountain Capital: utilizes Jones model focusing on micro-

capitalization stocks, spin-offs, new issues and companies emerging from

bankruptcy in the consumer, healthcare and technology sectors.

. Executes extensive research to formulate recommendations: interviews

senior management team; analyzes SEC filings, press releases, industry

periodicals; attends investor conferences and monitors websites.

. Develops and maintains proprietary earning models for all stocks in

portfolio based on accumulated information; generates monthly performance

updates and quarterly investment letters for clients.

KENNETH J. FLEMING, MBA Page Two

PROFESSIONAL EXPERIENCE

(Continued)

CLIPPER CAPITAL, Boston, MA 2002 - 2006

Private firm with $50 Million in assets under management.

Director of Research

. Strategic and tactical leadership for team of four junior analysts;

recruited, trained, mentored and coached new hires lacking Wall Street

experience.

. Key contributor to growth of organization: co-developed company's

investment philosophy and marketing collateral; defined and developed day-

to-day operating procedures; led investor meetings.

. Designed and implemented best practices for monitoring portfolio profit

and loss.

. Generated new strategies and investment ideas, key point of liaison for

sell side brokers; attended investor conferences.

RENAISSANCE CAPITAL, Greenwich, CT 1996 - 2000

Global leader in IPO research and IPO investment services.

Assistant Vice President / Senior Analyst, 1999 - 2000

Analyst, 1996 - 1999

. Conducted extensive research, analyzed data, published 250+ reports on

IPOs (software, telecommunication, specialty retail, and internet

companies) for institutional investors including Fidelity, Putnam and

Dreyfus.

. Delivered buy and sell recommendations to portfolio managers; prepared

full presentations including financials, reports, valuations, trend and

other analyses.

. Wrote weekly, quarterly and year-end commentaries on IPO market

distributed to institutional clients and featured on industry websites

including E*Trade and Datek Online.

. Created and maintained website focused on IPO market: averaged 250,000+

hits monthly and possessed ecommerce capabilities and paid advertising.

. Mentored, coached and reviewed work product of junior analysts.

EDUCATION

THE WHARTON SCHOOL OF BUSINESS, UNIVERSITY OF PENNSYLVANIA, Philadelphia,

PA

Master of Business Administration in Finance (Palmer Scholar), 2002

DARTMOUTH COLLEGE, Hanover, NH

Bachelor of Arts in Economics, 1995

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