Management Financial

GERALD P. SULLIVAN *** Summit Avenue, Box ** ? Summit, NJ

*****-****

908-***-**** ? *****@*********.***

FINANCIAL SERVICES EXECUTIVE

Fund Management - Strategy - Technology - Business Development

PROFILE

Investment Strategist & Financial Services Professional - Extensive

experience and exceptional success in conceiving and executing investment

ideas that have consistently outperformed major benchmarks in good times

and bad. Patent holder of US Patent no. 7,107,229 B1, for a method of

developing and maintaining an algorithmic based portfolio strategy.

Experienced with all aspects of mutual fund investment, administration, SEC

reporting and compliance.

Entrepreneur & Senior-Level Management Executive - Forward vision, big-

picture perspective, entrepreneurial orientation and strong business acumen

combined with CFO-level qualifications and complete set of cross-functional

management skills. Excel as a leader and/or team member working with other

sharp, creative and driven professionals.

IT Specialist, Risk Management & Analytics Expert - Expert in development

and utilization of advanced technologies and sophisticated analytics to

create competitive differentiation, convert data into viable business and

investment strategies, and make fact-based trades vs. calculated gambles.

Outstanding hands-on IT design, development and implementation. Significant

experience designing tools that supported risk management of portfolio of

fixed income, futures and options.

CAREER DISTINCTIONS

. Originator, developer and patent holder of Industry Leaders Portfolio

Strategy - breakthrough, conservative equity portfolio management and

technology-driven investment strategy and process model of significant

commercial value in US and international markets (US Patent no. 7,107,229

B1).

. Formed, grew and continue to manage a private investment firm that has

outperformed the comparable industry benchmark - S&P 500 for 11.25 years

(1.9% average net of fees outperformance to S&P 500). Top quintile 10

years "large core" by Lipper, top quintile 10 years "large blend" by

Morningstar.

. Developed a co-branding relationship with the NASDAQ OMX exchange to

launch an Exchange Traded Fund (ETF) based on a share class of the firm's

mutual fund. The mutual fund reorganization will provide the ETF with an

11 year NAV track record, making the product at launch the 7th oldest US

traded equity ETF series.

PROFESSIONAL EXPERIENCE

Claremont Investment Partners, Summit, NJ 1995 to Present

Industry Leaders Fund, Summit NJ 1999 to Present

CHIEF FINANCIAL OFFICER & CHIEF INVESTMENT OFFICER

Provide vision, strategy, and financial and managerial oversight to a

privately held, entrepreneurial financial services firm (SEC registered

investment adviser). Manage all aspects of investment operations -

strategic planning IT, quantitative research, finance, accounting,

statutory SEC reporting, legal affairs and staffing. Senior Portfolio

manager for mutual fund and separate accounts. Direct the activities of

fund custodial bank and transfer agent. As CFO of the firm, hold full P&L

and regulatory compliance accountability - certify all annual and

semiannual reports for the Fund. As President of the mutual fund, advise

and report to the Board of Directors. Responsible for coordination between

investment advisory and mutual fund operations.

Leadership Distinctions & Management Successes

. Authored and executed the startup business plan with lean operations

built on a platform of scaleable, repeatable and flexible processes.

Secured all licenses and regulatory approvals, implemented statutory

reporting process and compliance standards - SEC & SOX

. Developed a product/service offering through the origination, design,

development, test and commercialization of Industry Leaders Portfolio

Strategy - a sophisticated, patented technology-based investment model.

GERALD P. SULLIVAN Page 2 of 3

Claremont Investment Partners, Inc. - continued

. Secured a co-branding relationship with the NASDAQ OMX exchange to market

and disseminate the NASDAQ OMX Industry Leaders Index (tickers NILX and

NILI) and to list the NASDAQ OMX Industry Leaders Index Fund (exchange

traded fund, ticker LEAD).

. Attracted and allied with a talented, multidisciplinary advisory board -

finance and law experts and a seasoned global banking executive - in

steering company's strategic direction, maintaining financial health and

optimizing fund ROI.

Investment Strategy & Results

. Industry Leaders Portfolio Strategy has outperformed the S&P 500 by an

average of 2.06% per annum - excess cumulative total return of 418% vs.

S&P 500 as of December 31, 1986.

. Industry Leaders Fund Investor Shares (ticker ILFIX) is ranked for the

past 10 years in the top 14% of "large core" funds by Lipper and in the

top 17% of "large blend" funds by Morningstar.

Hilliard Farber & Co., Inc., New York, NY 1993 to 1995

MANAGING DIRECTOR - TREASURY BOND DEPARTMENT

Managed business development, staffing, client services and relationships

for the US Treasury Bond Department of a well-established inter-dealer

brokerage firm. Provided critical decision support, and contributed insight

and advisory services on capital raising and investment strategies.

Mentored and led a team of 30 brokers and support personnel. Liaised with

external and internal customers (back office, accounting and IT).

Distinctions & Successes

. Led turnaround of the Treasury Bond Department - halted year-over-year

decline in profitability and achieved near breakeven within 2 years.

Delivered significant annual cost savings via success of performance

improvement initiatives.

. Improved internal efficiencies, and enabled immediate, accurate

determination and utilization of capital risk by mapping the entire

trading cycle, and designing and implementing a formal risk control

model. Expanded the decision support value of the system by adding

tracking/reporting of capital usage and profit contributions by

individual broker.

Atlanta Committee for the Olympic Games, Atlanta, GA 1992 to 1993

SENIOR BUDGET & MANAGEMENT ANALYST

Member of the Finance Division - 50th person hired by the organization

(recruited by the COO and reported to the Managing Director of Finance and

Budgets) - in a newly created position within the privately funded business

organization formed to provide financial, logistical, operational and

managerial oversight to the XXVI Olympiad. Developed the financial

forecasting model that the Atlanta Olympics was based upon, producing

detailed results presented to the International Olympic Committee.

Distinctions & Successes

. Credited with personal contributions to enabling operationally

efficient, cost-effective growth - from 100 to 50,000+ employees and

volunteers by day-one - of the Olympic Games organization by providing

timely, accurate and meaningful financial data.

. Delivered mission-critical decision support by designing, programming

and implementing comprehensive financial forecasting model (based on 150

expense variables) incorporating multi-year expense projections for 185

separate Olympic programs/venues.

. Planned and developed business-specific operational budgets for the

Sports Department, External Relations Department and The Olympic

Village.

GERALD P. SULLIVAN Page 3 of 3

Hickey Financial Services, Chicago, IL 1989 to 1992

TREASURY BOND TRADER

Member of an eight-person Treasury Bond Trading team - strictly

entrepreneurial role with independent, P&L accountability for building book

of business, performing research and quantitative analysis, forming and

executing trading strategies, managing risk and portfolio of futures

options, forging and retaining relationships - for one of the largest hedge

fund trading firms in Chicago. Originated trading ideas, and managed

portfolio through periods of extreme market volatility - attempted coup in

Russia and first Gulf War.

Distinctions & Successes

. Built, grew and managed $1 billion leveraged bond and futures options

portfolio.

. Pioneered the firm's exposure to technology-based strategy, pricing,

research and analysis. Designed and utilized risk management system to

formulate investment strategies, establish pricing models, and optimize

portfolio performance.

. Executed investment strategy based on creation of a synthetic US Treasury

yield curve utilizing options and futures.

O'Connor & Associates, Chicago, IL 1986 to 1989

BOND OPTION TRADER

Member and key contributor to bond trading desk within one of the best

options and futures trading firm in the world - unique in its extremely

team-focused, education-oriented organizational culture. Traded "short end"

of $1+ billion arbitrage portfolio that leveraged financial futures and

options combined with US Treasury securities.

Distinctions & Successes

. Advanced ahead of peers by expanding role of trader to become the

connection to quantitative research and the firm's "official" Fed

watcher. Gained extensive product knowledge and understanding of options

trading theories and practices.

. Contributed significant improvements - IT enhancements and sophisticated

quantitative research models - to the firm's proprietary risk management

system.

Salomon Brothers, Inc., Chicago, IL and New York, NY 1982 to 1986

FINANCIAL ANALYST - CORPORATE FINANCE

College-recruit into the firm's highly competitive two-year Corporate

Finance Analyst Program and assigned to the newly formed Analytical

Services Department. Supported data analysis functions for diverse

financing projects - M&A, debt and equity deals, real estate investment -

by designing and programming sophisticated computer-based graphics

programs, analysis models and special-purpose financial reports.

Distinctions & Successes

. One of only twelve individuals recruited by Salomon Brothers for one of

the top 1% most desirable college graduate positions on Wall Street.

. Improved the availability, usefulness and timeliness - particularly in

data-intensive sales presentations - of financial information for the

Chicago office. Reduced investment project cycle time from as many as

five days to as few as one.

EDUCATION

MBA - Finance & Accounting - UNIVERSITY OF CHICAGO GRADUATE SCHOOL OF

BUSINESS, Chicago, IL - 1986

BA - Behavioral Psychology with concentration in Research - COLUMBIA

UNIVERSITY, NY, NY - 1982

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