Manager Management

Daniel J. Rivera, CFA *** Lincoln Ave. ( Glencoe, IL 60022

847-***-**** ( **********@*****.***

PROFILE

Accomplished and credentialed global financier with 20 years of results

oriented experience. Disciplined, and articulate with a demonstrated

ability to produce consistent investment and business results in both

rising and falling markets. Possess strong global macro, equity strategy,

risk management, and leadership skills at various levels.

CAREER HISTORY

Allstate investments, llc - Northbrook, ill Jun 2004 - Dec 2009

Managing Director - equities

Chief of Equities for a separate account institutional investment

organization AUM ranged between $5.2 AND 9.2 Billion.

Managed 18 professionals in five teams that employed both quantitative and

subjective approaches.

. Directly managed a $1 billion foreign equity portfolio and which $100 MM

was allocated to Emerging Markets. This approach used a mix of

individual securities and Exchange Traded Funds

. Directly managed a $500MM equity long/short portfolio resulting in a >19%

annualized return from 2006 through mid-2008. The strategy closed when

management decided to abandon the external client strategy.

. Allocated capital to various equity strategies on both a strategic and

tactical basis. The foundation of the process is an optimized allocation

to styles and capitalization with a tactical asset shift overlay.

. Recommended allocation to various other assets including credit,

alternatives and structured assets.

. Recommended and constructed a China (H) share equity portfolio as a

strategic asset in November 2008 using individual stocks and exchange

Traded Funds (ETF's).

. Key contributor to the Investment Department as a member of the Economic

analysis team, Strategy committee and Portfolio Management Group

allocation committee.

. Selected external managers for specialty equity exposure using

quantitative and subjective analysis.

. Reorganized the department into two style-oriented teams that delivered

top quartile results beginning in the first quarter of operation. From

this base, ultimately designed and implemented eight separate equity

portfolios managed in different capitalizations and styles using

quantitative, fundamental and technical disciplines.

American Express Financial Advisors - Minneapolis, MN Jan 2000 - Jan

2004

Vice President, Head of Global Equities & Senior Portfolio Manager (2000 -

2004)

Chief Investment Officer for American Express Equity Advisors, a team

managing Institutional separate accounts, retail and High Net Worth

portfolios.

. Introduced quantitative portfolio engineering methods to complement the

fundamental investment process, resulting in Advisory's peer ranking

improving from 88th in 1999 to 8th percentile in 2003 (Callan Large Cap

Growth universe).

. Implemented risk management tools used as an integral part of portfolio

management, budgeting and the P&L. As a result of improved performance

and success in risk analysis and management, appointed as Head of Global

Equities in July 2001. This appointment brought with it responsibility

for global leadership, investment performance, business management, and

administration and incentive compensation.

. Improved team morale, return dispersion and consultant perception in a

difficult equity market.

Daniel J. Rivera Page Two

. Responsible for global leadership of Portfolio Managers and Research

Analysts, investment performance and business management of a 144 person

global investment management organization with offices in the United

States, London, Tokyo, Hong Kong and Singapore.

Member of American Express Financial Advisors (AEFA) World Class Asset

Management Project, and Global Financial Services Senior Leadership Team,

the senior policy making body at AEFA.

Accepted Head of Global Equities position while still managing Equity

Advisors. Despite a tripling of duties to include international travel,

Advisory achieved a peer ranking of top quartile in the Callan Growth

Universe for 2001.

. Implemented a benchmark-standard process to improve relative investment

performance and eliminate style drift. Prior to this, portfolios were

measured only against the 30 largest funds in their Lipper category.

. Instituted a rigorous portfolio review process requiring portfolio

managers to report on their major positions, risk profile and explain

their strategy to other portfolio managers weekly.

. Initiated a continuous one on one process and portfolio review program

with under-performing managers to analyze the strengths and weaknesses of

their investment process and recommend and monitor improvements as

necessary.

. Developed and implemented a "Virtual Close" process that provided

business leaders with daily revenue and cost data.

. Created a positive and collegial environment that fostered innovation and

entrepreneurial spirit. Colleagues were encouraged to make decisions

after a thorough review of the cost / benefit equation. By communicating

specific and unambiguous objectives, an esprit de corps of shared success

and adversity was engendered that improved team dynamics and initiative.

. Instituted a continuing education program and scheduled classes on a

variety of topics monthly.

. Implemented a risk awareness protocol to monitor portfolio tracking error

and correlate same with manager process, strategy and mandate. As a

result, 55% of AXP funds ranked above median for the latter part of 2001

vs. 65% below median in the first half of the year.

. Developed a business strategy and designed the supporting organizational

structure for AEFA that supported geographical dispersion of portfolio

management teams. Upon acquisition of the Boston Portfolio Management

group, the organizational design was implemented by senior management

without alteration.

Branch Banking and Trust Co. (BB&T acquired UCB in 1997) - Raleigh, NC

Jan 1994 - Jan 2000

Vice President, Senior Portfolio Manager

Responsible for managing a team of three growth managers, a large cap

growth mutual fund, and $400 million in High Net Worth and Institutional

separate accounts. Responsible for significant client contact and mutual

fund marketing presentations.

. Started the Large Company Growth fund and managed a team of three growth

managers. The fund achieved a Morningstar ranking of Four Stars

immediately after completing the required three years of operation.

. Introduced institutional asset allocation software that improved the

firm's effort to promote BB&T's disciplined, long-term investment style.

. Introduced new presentation tools that professionalized the firm's

marketing effort by using interactive visual presentation systems.

. As an Institutional equity manager, made numerous visits with

consultants, clients and prospects to sell services. This marketing

effort, combined with top third performance, increased positive cash

flows substantially. In general, fund in-flows amounted to 50%

annualized during this period.

Daniel J. Rivera Page Three

United Carolina Bank (acquired by BB&T in 1997) - Wilmington, NC Jan

1994 - Jan 1997

Director of Investments

As director of Investments, I was responsible for managing four

professionals in two states and all business aspects including, budgeting,

P & L, investment performance and product development. Appointed a voting

member of the bank's Asset / Liability committee.

Implemented a multi-disciplinary approach to equity portfolio management

for both separate accounts and common funds. The improvement in

performance caused the institutional portfolio to be ranked among the top

20 Large Growth Funds on five separate occasions by Nelson's.

. Assets doubled from $1.2 billion to $2.4 billion and managed assets grew

from $400 million to $1.2 billion in the same period.

. Developed a family of institutional common funds to support a new 401k

product designed and administered within the bank for non-bank clients.

. Implemented a quantitative asset allocation effort using an institutional

optimizer to develop customized allocations. This led to a 40% increase

in institutional assets.

Commerce Bank - St. Louis, MO Nov 1992 - Jan 1994

Vice President, Senior Portfolio Manager III

Responsible for managing equity and fixed income individual and

institutional separate accounts as well as those for the area west of St.

Louis and east of Jefferson City. Served as the primary equity analyst for

three large capitalization equity sectors, and four mid-capitalization

sectors.

.

High Point Bank & Trust Co. - High Point, NC Feb 1989 - Nov 1992

Vice President, Director of Investments

Responsible for managing the investment portfolios of Institutional and

individual separate accounts, both equity and fixed income. Responsible

for client presentations and monthly newsletters. Chaired the Trust Review

and Investment committees.

United States Army - U.S. and Europe

Captain, Infantry

Served in a variety of command and staff positions; specifically:

Mechanized Infantry Platoon Leader, Infantry Company Executive Officer,

Infantry Battalion Logistics Officer and Doctrinal Analyst for the Infantry

School at Ft. Benning, GA.

. Developed an innovative re-supply system for ground combat units using a

Logistics Release Point process. This allowed battalion support elements

to re-supply forward combat formations quickly and efficiently regardless

of the tactical situation. Tested this system live as a battalion

logistics officer in Europe, and subsequently promulgated it as doctrine

at Ft. Benning. It is now standard operating procedure throughout the

Army. As a result, was appointed the Infantry School's Subject Matter

Expert on Battlefield Logistics.

. Wrote the Army's seminal work on "Combat in Forests" and "Combat in

Mountainous Terrain".

. Produced the 1984 version of the "Battalion Task Force Operations",

"Infantry Company Operations" and "Operations in Urban Terrain" field

manuals.

. Decorations earned include Meritorious Service Medal, Army Commendation

Medal, and Expert Infantryman's Badge.

Daniel J. Rivera Page Four

PROFESSIONAL DEVELOPMENT

. MBA (International Finance) - University of North Carolina-Chapel Hill

2000

. BA (Modern Languages) - Virginia Military Institute in Lexington, VA

1976

. Chartered Financial Analyst

. Have held NASD Series 7 and 63

. INSEAD Global Investors Workshop; Frontenac, France.

2008

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