ANTHONY HARTMAN

* ****** *** ? Frenchs Forest NSW 2086 ? Australia

006**-****-**** (home) ? 006****-***-*** (mobile) ? aczqi4@r.postjobfree.com

OBJECTIVE

A leadership position providing the opportunity to achieve success by making use of a range of managerial,

analytical, strategic, creative, marketing, and legal abilities.

QUALIFICATIONS SUMMARY

Accomplished, visionary, analytical professional with applicable experience across three continents

and five industries ? financial services (investment management, corporate finance, research, broking), legal,

waste recycling, property and logistics. Focus on value creation, developing new business opportunities,

improving process and efficiency, and motivating staff to achieve objectives. Impressive track record in

achieving goals with strong problem-solving, management, leadership, communication and interpersonal

skills. Holds two degrees from Australian universities, two Australian Stock Exchange licences, a Series

7 license, speaks several languages. Expertise and experience in creating and implementing new business

plans, managing the process, analyzing business, marketing, continuous quality improvement, team building

and cementing client relationships and going beyond satisfying their expectations.

PROFESSIONAL EXPERIENCE

MACQUARIE EQUITIES LTD. SYDNEY, AUSTRALIA

Feb 2004 ? present

Director/Portfolio Management

? Managing a team operating discretionary and advisory equities, fixed interest investment

management, external consulting (to family operations, other wealth managers) and broking services.

? Responsible for decision making in portfolio management, operation of models, stock selection

process.

? Responsible for marketing and distribution of various services to the retail, wholesale/intermediary,

high net worth, family office, charities channels.

? Leads team through the approval processes of: major financial dealer groups in Australia; various

internal control and risk management boards; Mercer Consulting; and other processes required to the

navigated to get our products and services on external Approved Product Lists.

? Membership of several external investment committees in our consulting business, in which our

intellectual property is sold to external clients. We assist external managers formulate and implement their

investment mandate, monitor and calculate performance and scrutinise any positions they hold outside the

stocks in our models according to our investment management process.

? Full service stockbroking business to non-discretionary clients. The client based is skewed towards

intermediaries and includes private sophisticated investors and institutional investors.

? Extensive involvement in the development, planning and execution of such marketing campaigns as

client roadshows, conferences and presentations.

? Maintain all compliance related material comprising minutes of investment committee

meetings, regulatory filings, monitor ongoing changes in the industry and adapt current policies and

procedures to conform to the new regulations.

? Managed audits by internal risk management and ASIC.

? Developed and run an internal training programme designed to train Macquarie Private Wealth staff

about the philosophy, technical operation, fundamentals and marketing of our discretionary model investment

portfolios.

? Responsible for transformation over five years of the desk?s transactional revenue to annuity revenue.

? Growth of funds following our models on various platforms rose to exceed $700m in 2012.

? Growth of funds under management from internal private wealth managers has risen five fold since

access was granted to our model portfolios in early 2012.

ANTHONY HARTMAN Page Two

PROFESSIONAL EXPERIENCE (cont.)

CITIGROUP AUSTRALIA PTY LTD.

SYDNEY, AUSTRALIA

Sep 1999 ? Feb 2004

Vice President/Equities Sales, Portfolio Management

? Full service stockbroking business to non-discretionary clients. The client based comprised

institutions, corporations, intermediaries and private investors.

? Membership of several external investment committees in our consulting business, in which our

intellectual property is sold to external clients. This activity was restricted to the intermediary or financial

planning, client base.

? Trading and ?special situation? ideas for institutional and private clients, making event driven

recommendations.

? Extensive involvement in the development, planning and execution of such marketing campaigns as

client roadshows, conferences and presentations.

? Responsible for jointly securing three separate ?dealergroup contracts each generating an average of

$300,000 p.a. in revenue. Commission rose from $400,000 p.a. to $750,000 p.a. over this period.

CAPITAL AUSTRALIA PTY LTD. SYDNEY, AUSTRALIA

CRESVALE

Jun 1998 ? Sep 1999

Manager, Corporate Finance, Equities Research, Stockbroking

? Managing the firm?s corporate finance activities in small and midcap mining and technology

companies listed on the Australian Stock Exchange. Creation of the firm?s corporate finance

policy and process. This was also an equities capital markets role involving the marketing and

distribution to the firm?s clients of our primary and secondary capital markets offerings.

? Financial modelling and analysis of transactions skewed to mining projects, legal work

preparatory to this capital raising activity.

? Managed the firm?s relationship regarding corporate finance activities with regulators being

the Australian Stock Exchange and the Australian Securities & Investment Commission.

? Managed team of four analysts and oversaw the design and creation of the firm?s research

database and the daily production of research product for broking team, and maintenance of

firm?s equities research database.

? Two IPOs jointly raising $10m, three capital raising transactions worth $19m.

? Creation of research product saw revenue per dealer rise on average double in one year to

$25,000 per month.

? Resigned on concerns over management stability, accepted offer from Salomon Smith Barny

J.P. MORGAN INVESTMENT MANAGEMENT PLC. LONDON, UNITED KINGDOM

Jul 1996 - Jun 1998

Analyst, Legal and Compliance, Equities Research

? Led the team that drafted the firm?s policy guidelines for fund manager?s use of both currency

and index options and futures and led negotiations with regulators in Luxembourg and Ireland

in this regard.

? Developed programme allowing the checking of Luxembourg & Irish domiciled funds against

the restrictions particular to that domicile. Arranged and managed team from legal, IT and

accounting responsible for the creation of in-house software called ?Compliance Master

During this I developed facility in the programming language C++.

? Prospectus drafting team for Luxembourg and Belgium domiciled funds.

ANTHONY HARTMAN Page

Three

PROFESSIONAL EXPERIENCE (cont.)

? Financial modelling work for large cap European equity fund and operational,

administrative desk support for balanced and fixed income funds.

? Returned to Australia for family reasons.

ALLEN ALLEN AND HEMSLEY, CLAYTON UTZ, BLAKE DAWSON WALDRON. SYDNEY, AUSTRALIA

Jul 1993 - Jun 1996

Paralegal, Legal Research, Graduate

? Extensive research in corporate, antitrust, finance, property and commercial litigation matters.

? Managing establishment of various points of fact and law in discovery during several large,

lengthy litigation matters across property, commercial and trade practises jurisdictions.

? Part of or managing teams that decided how best to use evidence to establish the case and

relate this into what facts needed to be extracted to mirror these legal points.

? Court attendances pursuant to litigation process, assistance in drafting of advice and

correspondence in corporate, trade practises, commercial litigation.

? Developed processes throughout this period to organise, structure, and deal with huge

volume of data and discovery material.

EDUCATION

? BEc (Business degree in Finance, Economics), Macquarie University, Sydney NSW Australia, 1993

? LPAB (Law degree), Sydney University, Sydney NSW Australia, 1996

? LLM, UTS, Sydney NSW Australia, completion expected, 2015

ADDITIONAL COMMERCIAL EXPERIENCE

? CFO, AKT Evolution Pty Ltd, 2011 ? Present. World leading organic waste recycler.

? MD, Orient House Investments Pty Ltd, 2001 ? Present. Property subdivision and redevelopment,

logistics network owner/operator SE Qld, wholesale/retail sales & distribution.

? Chariman-Elect, ASX Listed Private Equity firm, 2013, subject to announcement.

PROFESSIONAL DESIGNATIONS

? ASX Accredited Options Adviser Levels 1, 2 2003, 2005

? FINRA Series 7, 2000

REFEREES

? Mr. Ian Knop AM, Managing Partner, Profile, Ray & Berndtson Management Consultants,

Sydney Australia, (Work) 001*-***-**** 2393

? Mr. Michael Tilley, Director, Orica Ltd, Sydney Australia. (Mob) 041*-***-***

? Mr. John Williams, Chief Risk Officer, Kalos Capital, Alpharetta GA, 001*-*-***-*** 1100

? Mr. Jonathon Findlay, Principal, Kinetic Investment Partners, Melbourne Australia

(Work) 001*-***-**** 1763

? Mr. Bernard Gresser, Principal, Veritas Funds Management, Sydney Australia

(Mob) 040*-***-***

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