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Retired Senior Vice President of Clinic Services Corporation and formerly President & General Manager of Seven-Up Bottling Company of Denver, John brings 48 years of business experience to this consulting role.
He has participated on national advisory boards providing brand and marketing strategies for the Seven-Up Company, The Canada Dry Corporation, The Squirt Company, and Hawaiian Punch (RJR).
John has enjoyed leadership positions with the Rotary Club of Denver, the Denver Zoological Foundation, The Mountain States Employers Council and his college fraternity Phi Gamma Delta.
Executive Director / Burridge Center for Finance / University of Colorado
Prior to joining Colorado University, Roberto was a managing director in the New York office of Goldman Sachs, where he spent fourteen years: twelve years as a strategist (focusing on commodity and credit derivatives), and then two years as risk manager for the global trading areas of the firm, creating and leading the counterparty risk management team.
Prior to that, Roberto spent two years at McKinsey & Co Italy as a business analyst, where he consulted for clients in the energy and banking sector.
Education:
MBA, MIT-Sloan, with a certificate in Financial Engineering
Ph.D., Electrical Engineering, University of Rome “La Sapienza”
Laurea, Electrical Engineering, University of Rome “La Sapienza”
Brinton Johns is a Consulting Analyst at Smith Capital Investors. He brings more than 19 years of industry experience to his role. Prior to joining the team, he spent 17 years at Janus Capital group where he served as an analyst, portfolio manager, and Technology team leader.
Brinton earned a Bachelor of Arts in Business Administration from the University of Texas and a Master of Arts from the Denver Seminary. He brings more than 19 years of financial industry experience to his role.
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Colleen Denzler is an Investor at Smith Capital Investors, a position she has held since March 2019. Prior to joining the team, she served as Founder and Lead Consultant at Colleen Denzler Strategy Partners. As an entrepreneur, Ms. Denzler dedicated herself to helping the best and most ethical asset managers define and communicate their investment process to potential and existing clients.
Colleen also served as Chief Investment Officer (designee), First Affirmative Financial Network, a $1 billion RIA, as well as President of the SRI Conference. Prior to that Colleen was with Janus Capital Management LLC as the Global Head of Fixed Income Strategy. In this role, she created and led the business strategy of Janus Fixed Income, in conjunction with the Chief Investment Officer. She delivered market insight, investment process and performance to clients all over the world. During her tenure at Janus, Colleen wrote a suite of client focused thought leadership. Colleen has spent over 15 years as a Fixed Income Portfolio Manager and led a team of Portfolio Managers, overseeing $6 billion in assets. Additionally, she has experience managing assets utilizing ESG methodology.
Colleen earned a Bachelor of Science degree in Finance from Radford University. She earned the Chartered Financial Analyst (CFA) designation and is a member of the CFA Society of Colorado. Colleen volunteers her time to the University of Colorado, Boulder, Leeds School of Business to help current and prospective female students learn more about career opportunities in finance. She also gives her time to Community Food Share, which helps people in need of food in Boulder and Broomfield County.
Why did you join Smith Capital Investors?
“I joined Smith Capital Investors because working with people that share a common goal of integrity with each other and service to clients, inspires my excitement and allows for the ultimate expression of helping people realize their dreams.”
Favorite book, quote, thought, inspiration, lesson.
Coming from a family where the thought of having $10,000 was out of reach, I have learned first-hand, what helping people grow their money can do for their lives and their families. Holding that sacred duty in the highest regard and cherishing the opportunity to work for clients, motivates me every day.
Ryan Duffy is a senior member of Smith Capital Investors’ Business Development team, a position he has held since August 2020. Before joining the team, Ryan served 12 years at Principal Global Investors (PGI), with his most recent role as a Senior Market Director in Intermediary Sales covering Wire House, IBD, and RIA channels in the New England market. During his tenure at PGI, he earned several accolades for sales performance excellence. In total, Ryan has 16 years of industry experience.
Ryan earned a Bachelor of Arts in Religious Studies from St. Lawrence University. Additionally, he holds a Certified Investment Management Analyst (CIMA) designation. Ryan enjoys spending time with his wife, three children, and their dog. He is passionate about coaching his kid’s sports teams, health & fitness, and golf.
Dustin Groesbeck is an Investor at Smith Capital Investors. She joined the team in August of 2021. Dustin started her career in a credit analyst program at Bank of America and served as a Portfolio Monitoring Officer managing Middle Market credits. Later she worked at HSBC as an Associate covering both investment grade and high yield large corporate credits within Global Banking and Markets.
Dustin graduated from Indiana University, earning a degree in Finance and International Business at the Kelley School of Business. During her time there, she gained experience interning at Redwood Trust and abroad at the Bank of Ireland. She was actively involved in several organizations, including Women in Business, and participated in Indiana University’s annual Little 500 bike race. Originally from California, Dustin has a passion for credit analysis and research, international travel, yoga, and reading classic novels.
Why did you join Smith Capital Investors?
“I joined Smith Capital Investors because of the limitless opportunities to grow both individually and as a team. Every team member brings a unique set of skills and experiences to the table, and the company’s commitment to cultivating a best-in-class culture is unmatched.”
Favorite book, quote, thought, inspiration, lesson.
“Real change, enduring change, happens one step at a time.” – Ruth Bader Ginsburg
Wade Clouse is an Investor at Smith Capital Investors, a position he has had since August 2021. Before joining the firm, Mr. Clouse served as Senior Vice President of Operations and was the Chief Compliance Officer for 361 Capital, a boutique asset manager. His responsibilities included oversight of the Information Technology department, fund and company operations, and overall firm compliance.
Wade has been in the financial services industry for over 22 years. He also worked at ALPS Fund Services and served in a variety of roles including vice president of alternative investments services and was responsible for helping clients set up fund structures and oversaw the fund administration department of alternative investment funds. While at ALPS he held a number of board and officer positions across different mutual funds and also oversaw and managed the daily operations for a variety of fund families. He was the primary point of contact between fund management and third-party service providers.
Wade earned a Bachelor of Science degree in Finance from the University of Colorado at Boulder and received his MBA with honors in Finance and Accounting from Regis University.
Why did you join Smith Capital Investors?
“I joined Smith Capital Investors to work, learn and establish relationships with great people who have a passion for investing as well as supporting each other and a commitment to clients. I firmly believe in the three primary focuses of Smith Capital Investors which are Investing, People and Culture.”
Favorite book, quote, thought, inspiration, lesson.
“Be less impressed and more involved.” Mathew McConaughey
Garrett Olson is an Investor at Smith Capital Investors, a position he has held since April 2020. Prior to joining the team, he served as a Vice President, Opportunistic Credit Analyst at Shenkman Capital Management. In that position, Mr. Olson was responsible for analyzing and executing stressed, distressed and catalyst-driven credit investment opportunities.
During his time at Shenkman Garrett held several roles of increasing responsibility with a focus on investment research and modeling across a range of industries and the generation of trade ideas for leveraged loan and high yield bond portfolios.
Garrett earned a Bachelor of Business Administration degree Summa Cum Laude from the Southern Methodist University Cox Business School and a Bachelor of Science degree Summa Cum Laude in Economics from the Southern Methodist University Dedman College. He holds the Chartered Financial Analyst (CFA) designation. Garrett brings more than 8 years of financial industry experience to this role. He has a passion for investing, skiing, golfing, reading, and traveling.
Why did you join Smith Capital Investors?
“I joined Smith Capital due to its deep commitment to Investing, People, and Culture. I saw an opportunity to work with a talented, high character team that emphasizes intellectual honesty, hard work, and continuous learning in order to better serve its clients. ”
Favorite book, quote, thought, inspiration, lesson.
“We are what we repeatedly do. Excellence, then, is not an act, but a habit.”
Steve is joining Smith Capital Investors as an Investor. Steve brings more than 25 years of industry experience to his role with Smith Capital Investors.
Prior to joining us, he spent 10 years at Morgan Stanley where he served as Managing Director and Chief Operating Officer of the Fixed Income Division. Prior to joining Morgan Stanley, Steve was a Managing Director at Pequot Capital Management and portfolio manager of the firm’s credit strategies. Steve joined Pequot in 2003 and in his tenure at Pequot ran both long/short and short-dedicated credit portfolios. Before joining Pequot, Steve was Managing Director and an Institutional Investor #1 ranked credit strategist for Morgan Stanley. Prior to his work as a strategist, he was a credit analyst at Morgan Stanley and worked in a similar capacity at Fidelity Investments in Boston.
Education:
M.B.A. University of Chicago
B.S. Accounting Oregon State
Bryan Owen is an Investor at Smith Capital Investors. He recently completed his degree at the University of Colorado at Boulder, studying Finance at the Leeds School of Business and pursuing a minor in Economics and Mathematics. Prior to joining the Firm Mr. Owen was an Intern at Smith Capital Investors. Bryan also had several additional internships including Accounting Intern at Danone North America, Accounting Intern at SlimGenics, and Finance Intern at MassRoots. From Denver, Colorado, Bryan spends his free playing ice hockey, skiing, golfing, playing tennis and reading. He also spends his time following financial markets. Bryan has completed the Bloomberg Market Concepts, Pillars of Wall Street training and certification.
Why did you join Smith Capital Investors?
“It’s not too often that you can find yourself in an environment surrounded by great minds but more importantly, great people. I joined Smith Capital Investors because of the unique opportunity to surround myself with people of high character, that are always pushing the limits for improvement — both individually and with the business.”
Favorite book, quote, thought, inspiration, lesson.
“You were not born a winner, and you were not born a loser. You are what you make yourself to be.”
Books: Shoe Dog, Principles — among many others
Drew Casner is a Technical Investor with the team. In his role, Mr. Casner bridges the gap between finance and technology within the firm. He is able to combine his technical background and experience, with the knowledge of the team around him, to build cutting edge tools that increase the efficiency and decision-making ability of the firm.
Prior to joining the team, he served as the Chief Technical Officer for Give and Go Film, a sports technology startup he co-founded during his time at CU Boulder. In that position, Drew built an automated video editing solution for college basketball coaches, co-authored a technical patent, secured venture funding for the company, and worked with top tier Division 1 College Basketball teams to refine the product. Before he co-founded Give and Go, he worked as an intern at Raytheon, improving satellite ground stations for various classified programs.
Drew graduated from the University of Colorado at Boulder in May of 2019, with a degree in Computer Science, a minor in Economics, and a minor in Business with an emphasis in Entrepreneurship. Drew served on the leadership team for the student group HackCU for all four years of his education at CU Boulder. He earned the designation of Eagle Scout with Boy Scouts of America. In his free time, he is an avid sports fan and coaches his church’s softball team. He is passionate about entrepreneurship and technology, especially how the synthesis of those two fields can impact society in a positive way.
Why did you join Smith Capital Investors?
“Smith Capital Investors presented an amazing opportunity to work with passionate and talented individuals who collectively aspire to build a company that matters.”
Favorite book, quote, thought, inspiration, lesson.
“Make sure the thing you are working on is something you love.” – Brad Feld.
Michael Scherer is head of business development at Smith Capital Investors, a position he has held since April 2019. Prior to joining the team, he served as a Field Sales Director at Janus Capital Group. In that position, Mr. Scherer was instrumental in building one of the top sales territories for the firm and was a member of the Janus Director Advisory Committee.
During his tenure at Janus Capital Group Mike received awards for both sales’ achievement and leadership in 2006, 2013, 2014, 2015, and 2017. He has extensive knowledge of the Intermediary Advisor channel and his expertise is in working closely with financial advisors.
Mike earned a Bachelor of Arts in Communications from Muhlenberg College. Additionally, he earned a Master’s of Arts in Psychology from the University of Denver. Mike enjoys spending time with his wife and three daughters. He is an avid football, basketball and baseball fan, and enjoys running, golfing and playing the electric guitar very poorly!
Why did you join Smith Capital Investors?
“I joined Smith Capital because I wanted to be a part of something special. This is a group with a track record of tremendous past success. Those individuals came together as a team to perform a necessary service combining integrity and excellence.”
Favorite book, quote, thought, inspiration, lesson.
“We all are learning, modifying, or destroying ideas all the time. Rapid destruction of your ideas when the time is right is one of the most valuable qualities you can acquire. You must force yourself to consider arguments on the other side.”
― Charles T. Munger.
SMITH CAPITAL INVESTORS
PRIVACY POLICY
Last Updated: May 18, 2018
Smith Capital Investors, LLC (“Smith Capital,” “we,” or “us”) respects your privacy. This Privacy Policy describes the types of information we may collect from you when you visit Smithcapitalinvestors.com or use our other products and services that include an authorized link to this Privacy Policy (collectively, the “Services”), how we use the information we collect, with whom we share it, how we protect it, and the choices we offer you regarding our collection and use of such information.
1. Information We Collect
We may collect personal information about you, meaning information that can uniquely identify you, from various sources, such as:
The personal information we may collect about you may include, without limitation contact information, such as name, postal address, email address, and phone number.
When you use the Services, we may also collect certain information by automated means, such as cookies. A “cookie” is a text file that websites send to a visitor’s computer or other Internet-connected device to uniquely identify the visitor’s browser or to store information or settings in the browser. The information we may collect by automated means may include, without limitation, information about the device used to access the Services, the timing of such access, and the actions taken when using the Services. To the extent that we pair this information with your personal information, we will treat it in accordance with this Privacy Policy.
2. How We Respond to “Do Not Track” Signals
Your web browser may let you choose your preference as to whether you want to allow the collection of information about your online activities over time and across different websites or online services. We honor the preferences you may have set in your web browser regarding such collection of your information.
3. How We Use the Information We Collect
We may use the information we obtain about you to:
We may combine the information we collect with publicly available information and information we receive from our affiliated entities, business partners, and other third parties. We may use that combined information to enhance and personalize your experience with us, to communicate with you about products, services, and events that may be of interest to you, for promotional purposes, and for other purposes described in this Privacy Policy.
We also may use the information we obtain about you in other ways for which we provide specific notice at the time of collection.
4. Disclosure of Information
We may disclose aggregated information about our users, and information that does not identify any individual user, without restriction. We may disclose personal information about you:
We also reserve the right to transfer your personal information to a buyer or other transferee in the event of a merger, divestiture, restructuring, reorganization, dissolution, sale, or other transfer of some or all of our assets. Should such a sale, merger, or transfer occur, we will use reasonable efforts to require the transferee to use your personal information in a manner that is consistent with our Privacy Policy.
5. Data Security
We have implemented measures intended to protect your personal information from accidental loss and from unauthorized access, use, alteration, and disclosure. Please note that the electronic transmission of information is not completely secure. We cannot guarantee that the security measures we have in place to safeguard personal information will never be defeated or fail, or that such measures will always be sufficient or effective. Any transmission of personal information is at your own risk.
6. Your Choices
We offer you the following choices about the information we collect from you and how we communicate with you:
Cookies
Many web browsers allow you to manage your preferences. You can set your browser to refuse cookies or delete certain cookies. Unless you have adjusted your browser setting so that it will reject cookies, our system will issue cookies when you access or use our online services. In the event you refuse to accept cookies by adjusting your browser setting, some or all areas of our online services may not function properly or may not be accessible.
Promotional Communications
If you do not want us to use your contact information to promote our products or services, you can opt out by sending us an email stating your request to info@smithcapitalinvestors.com. Additionally, if you have received a promotional email from us, you can also opt out of receiving future promotional emails from us by following the unsubscribe instructions contained in such email.
7. Accessing and Changing Your Information
You may send us an email at info@smithcapitalinvestors.com to request access to, correct, or delete any personal information that you have provided to us. We may not accommodate a request to change information if we believe the change would violate any law or legal requirement or cause the information to be incorrect.
8. Children Under the Age of 13
The Services are not directed to, and Smith Capital does not knowingly collect or solicit personal information from, children under the age of 13. If we learn we have collected or received personal information from a child under the age of 13, we will delete that information. If you believe we might have any information from or about a child under the age of 13, please contact us at info@smithcapitalinvestors.com.
9. Changes to our Privacy Policy
Smith Capital reserves the right to update or change this Privacy Policy at any time. If we make a material change to our Privacy Policy, we will provide notice to you (by posting on our website) that our privacy practices have changed and will provide a link to the new policy. In the event we make a material change to how we use your personal information, we will provide you with an opportunity to opt out of such new or different use. The date this Privacy Policy was last updated is at the top of this page. We encourage you to review this Privacy Policy periodically to check for any updates or changes.
10. Data Transfers
Our Services are controlled, operated and administered by Smith Capital Investors from its offices in the United States. This Privacy Policy is provided in accordance with and subject to applicable U.S. law. If you decide to access our Services from a location outside the United States, you hereby agree that your use of the Services is subject to this Privacy Policy and your personal information will be transferred or processed in the United States, which may have different data protection laws than those in the country where you reside.
11. Contact Us
If you have any questions about this Privacy Policy or our information practices, please email us at info@smithcapitalinvestors.com.
Smith Capital Investors, LLC
SMITH CAPITAL INVESTORS
TERMS OF USE
Last Updated: May 18, 2018
The following terms and conditions (the “Terms of Use”) constitute a binding agreement between you and Smith Capital Investors, LLC (“Smith Capital,” “we,” or “us”) with respect to your use of Smithcapitalinvestors.com (the “Site”), and the services available on the Site (collectively, the “Services”), including any Content (as defined in Section 2 below). By accessing or using the SERVICES in any manner, you (A) ACKNOWLEDGE THAT YOU HAVE READ, UNDERSTAND, AND AGREE TO THESE TERMS OF USE AND OUR PRIVACY POLICY, WHICH IS INCORPORATED HEREIN BY REFERENCE, and (B) affirm that you are at least 18 years of age (or have reached the age of majority in the jurisdiction where you reside). IF YOU DO NOT AGREE TO THESE TERMS OF USE OR OUR PRIVACY POLICY, DO NOT USE THE SERVICES.
1. Changes to Terms of Use. We may revise and update these Terms of Use from time to time in our sole discretion. The date these Terms of Use were last updated is set forth at the top of this page. Your continued use of the Services following the posting of revised Terms of Use means that you accept and agree to the changes.
2. Scope of and Restrictions on Use. Subject to these Terms of Use, Smith Capital grants you a limited, non-exclusive, non-transferable, non-sublicensable, revocable license to access and use the Services for your personal, non-commercial use, including any graphics, text, instructions, images, audio files and/or other sounds, videos, and other materials you may view on, access through, or are otherwise related to the Services (collectively, the “Content”). Except as otherwise provided in these Terms of Use, the Content may not be copied, downloaded, or stored in a retrieval system for any other purpose, nor may it be redistributed, reused, or modified for any purpose, without the express written permission of Smith Capital. You agree not to:
3. The Services (including the Content) are owned by Smith Capital and, as applicable, its licensors, and are protected under copyright, trademark, and other applicable United States and international laws and treaties. Without limiting the foregoing, the trademarks, service marks, and logos displayed on the Site are registered and unregistered marks of Smith Capital and, as applicable, its licensors. You acknowledge and agree that, as between you and Smith Capital, Smith Capital is and shall remain the sole owner of the Services and the Content, including, without limitation, all patents, copyrights, trademarks, trade secrets, and other intellectual property and proprietary rights therein and thereto.
4. Electronic Communications. The communications between you and Smith Capital via the Services use electronic means. For contractual purposes, you consent to receive communications from us in electronic form, and you agree that all terms and conditions, agreements, notices, disclosures, and other communications that we provide to you electronically satisfy any legal requirement that such communications be in writing.
5. Privacy Policy. You acknowledge and agree that all information collected by Smith Capital is subject to our Privacy Policy.
6. Change and Suspension.
6.1. Changes to the Services. Smith Capital reserves the right to make changes to, suspend, or discontinue (temporarily or permanently) the Services or any portion thereof (including any Content) at any time. You agree that Smith Capital will not be liable to you or to any third party for any such change, suspension, or discontinuance.
6.2. Suspension/Termination of Access. Smith Capital has the right to deny access to, and to suspend or terminate your access to, the Services or to any features or portions thereof, at any time and for any reason, including if you violate these Terms of Use.
7. Disclaimer; Limitation of Liability.
7.1. Disclaimer of Warranties. THE SERVICES AND THE CONTENT ARE PROVIDED TO YOU ON AN “AS IS” AND “AS AVAILABLE” BASIS, WITHOUT WARRANTIES OF ANY KIND, AND SMITH CAPITAL HEREBY DISCLAIMS ALL WARRANTIES, WHETHER EXPRESS, IMPLIED, STATUTORY, OR OTHERWISE, INCLUDING BUT NOT LIMITED TO ANY IMPLIED WARRANTIES OF MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE, AND NON-INFRINGEMENT. NEITHER SMITH CAPITAL NOR ANY PERSON ASSOCIATED WITH SMITH CAPITAL MAKES ANY REPRESENTATION OR WARRANTY WITH RESPECT TO THE COMPLETENESS, SECURITY, RELIABILITY, QUALITY, ACCURACY, OR AVAILABILITY OF THE SERVICES OR ANY CONTENT. WITHOUT LIMITING THE FOREGOING, NEITHER SMITH CAPITAL NOR ANYONE ASSOCIATED WITH SMITH CAPITAL REPRESENTS OR WARRANTS THAT THE SERVICES OR THE CONTENT WILL BE ACCURATE, RELIABLE, ERROR-FREE, OR UNINTERRUPTED, THAT DEFECTS WILL BE CORRECTED, THAT THE SERVICES, CONTENT, OR THE SERVERS THAT MAKE THEM AVAILABLE ARE FREE OF VIRUSES OR OTHER HARMFUL COMPONENTS, OR THAT THE SERVICES OR THE CONTENT WILL OTHERWISE MEET YOUR NEEDS OR EXPECTATIONS.
7.2. Limitation of Liability.to the fullest extent permitted by law, IN NO EVENT WILL Smith Capital OR its OFFICERS, directors, employees, agents, licensors, OR service providers BE LIABLE FOR ANY DIRECT, INDIRECT, INCIDENTAL, CONSEQUENTIAL, SPECIAL, PUNITIVE, OR EXEMPLARY DAMAGES ARISING FROM OR RELATED TO YOUR USE OF OR INABILITY TO USE THE SERVICES OR THE CONTENT, INCLUDING, BUT NOT LIMITED TO, LOST REVENUE, PROFITS, BUSINESS OR DATA, WHETHER CAUSED BY TORT (INCLUDING NEGLIGENCE), BREACH OF CONTRACT, OR OTHERWISE, EVEN IF FORESEEABLE. THE FOREGOING LIMITATIONS SHALL APPLY EVEN IF YOUR REMEDIES UNDER THESE TERMS OF USE FAIL OF THEIR ESSENTIAL PURPOSE. USE OF THE SERVICES IS AT YOUR SOLE RISK.
7.3. Exclusions. Some jurisdictions do not allow the exclusion or limitation of certain warranties or consequential damages, so some of the exclusions and/or limitations in this Section 7 may not apply to you.
8. Indemnification. You agree to indemnify, defend, and hold Smith Capital and its officers, directors, employees, agents, licensors, and service providers harmless from and against any claims, liabilities, losses, damages, judgments, awards, costs, and expenses (including reasonable attorneys’ fees) arising out of or resulting from your use of the Services and/or any Content, or any violation of these Terms of Use or applicable law. We reserve the right, at our own expense, to assume the exclusive defense and control of any action subject to indemnification by you, and in such event you agree to cooperate with us in defending such action.
9. Securities Products. None of the information made available on the Site constitutes a recommendation, solicitation or offer by Smith Capital or its affiliates to buy or sell any securities, futures, options or other financial instruments or provide any investment advice or service. The information provided on the Site has been prepared without reference to any particular user’s investment requirements or financial situation. Certain transactions give rise to substantial risk and are not suitable for all investors. Prior to the execution of any transaction by you involving information you received from the Site, you should consult your business advisor, attorney and tax and accounting advisors with respect to the price, suitability, value, risk or other aspects of any stock, mutual fund, security or other investment. Pricing and other information generated through the use of data or services made available on the Site may not reflect actual prices or values that would be available in the market at the time provided or at the time that a user may want to purchase or sell a particular security or other instrument. The information and services provided on the Site are not provided to and may not be used by any person or entity in any jurisdiction where the provision or use thereof would be contrary to applicable laws, rules or regulations of any governmental authority or regulatory or self-regulatory organization or clearing organization or where Smith Capital is not authorized to provide such information or services. Some products and services described on the Site may not be available in all jurisdictions or to all clients.
10. Third Party Materials. The Services may display, include, or make available third-party content (including data, information, applications and other products services and/or materials) or provide links to third-party websites or services (collectively, “Third Party Materials”). You acknowledge and agree that Smith Capital is not responsible for any Third Party Materials, including their accuracy, completeness, timeliness, validity, legality, decency, quality, or any other aspect thereof. Smith Capital does not assume and will not have any liability to you or any other person or entity for any Third Party Materials. Third Party Materials and links thereto are provided solely as a convenience to you, and you access and use them at your own risk and subject to such third parties’ terms and conditions.
11. Miscellaneous.
11.1. Geographic Restrictions. Smith Capital is based in the State of Colorado in the United States. We make no claims that the Services or the Content are accessible or appropriate outside of the United States. Access to and use of the Services may not be legal by certain persons or in certain countries. If you access the Services from outside the United States, you do so on your own initiative and are responsible for compliance with local laws.
11.2. Governing Law; Jurisdiction. These Terms of Use shall be governed by and construed in accordance with the laws of the state of Colorado, without regard to conflicts of law provisions. Sole and exclusive jurisdiction for any action or proceeding arising out of or related to these Terms of Use shall be in an appropriate state or federal court located in the County of Denver, State of Colorado and the parties unconditionally waive their respective rights to a jury trial.
11.3. Waiver and Severability. Our failure to exercise or enforce any right or provision of these Terms of Use will not constitute a waiver of such right or provision. If any provision of these Terms of Use is held by a court of competent jurisdiction to be invalid, illegal, or unenforceable for any reason, such provision shall be eliminated or limited to the minimum extent possible, and the remaining provisions of these Terms of Use will continue in full force and effect.
11.4. Entire Agreement. These Terms of Use, including our Privacy Policy, constitute the entire agreement between you and Smith Capital with respect to the subject matter hereof, and supersede and replace all prior or contemporaneous understandings or agreements, written or oral, regarding such subject matter.
12. Questions. If you have any questions about the Services or these Terms of Use, please email us at info@smithcapitalinvestors.com. us at:
Smith Capital Investors, LLC
Zach Tucker is an Investor at Smith Capital Investors, a position he has held since 2018. Prior to joining the team, he served as a Director at Cantor Fitzgerald in New York. In that position, Mr. Tucker traded both municipal and taxable fixed income products.
In previous roles, Zach served in various fixed income research and trading roles at global banks and brokerages, as well as a Chief Financial Officer of an electronic bond trading platform. Notably, he managed a municipal products business at Credit Suisse where he started a trading desk and was the lead decision maker writing over $2 billion in letters of credit to closed-end bond trusts. He started his career as a distressed debt analyst at Citigroup.
Zach earned a Bachelor of Science degree in Management Science & Engineering from Stanford University, with a concentration in Financial & Decision Engineering. He brings more than 13 years of financial industry experience to this role. Zach strongly believes in education and in his community, working with the Young Americans Center for Financial Education, Rose Community Foundation, and Colorado Academy.
Why did you join Smith Capital Investors?
“I found a great opportunity to join a team of experienced and principled investors at Smith Capital. I was drawn to their strong background in fixed income markets and the team’s entrepreneurial mindset. Learning that Smith Capital Investors invests first in people, I knew I had found a home.”
Favorite book, quote, thought, inspiration, lesson.
“Do right and fear no man.” – English proverb.
Jonathan Aal is an Investor at Smith Capital Investors, a position he has held since 2018. Prior to joining the team, he served as a Global Fixed Income Research Analyst at Janus Henderson Group. In that position, Mr. Aal was a lead financial sector analyst for both investment grade and high yield investments.
Previous to this role, Jonathan served in the United States Military where during his service and multitude of deployments he received numerous awards including such for combat valor.
Jonathan earned a Bachelor of Science degree with distinction in Business Administration with a concentration in finance and accounting from the University of Colorado at Boulder. He brings more than 5 years of financial industry experience to this role. He has a passion for investing, outdoor adventure, and spending time with his family. Jonathan supports and is an advocate for adoption.
Why did you join Smith Capital Investors?
“Only so many times in life do we ever come across something that is truly unique—I believe Smith Capital Investors is one of these instances. Specifically, Smith Capital Investors, at its core, embodies a relentless client commitment—unique not in its words but in its actions.”
Favorite book, quote, thought, inspiration, lesson.
When it comes to the internal combat waged within every man and woman it should go without saying that extraordinary character is not absent extraordinary actions; where such actions are not unknowing of adulterated provocation, rather they are the produce of persevering principles and beliefs that in and of themselves are scarred and marred but ultimately victorious. Put simply, extraordinary actions and therefore extraordinary character is fought for…every single day.
Eric Bernum is an investor at Smith Capital Investors, a position he has held since May 2018. Prior to joining the team, he served as Executive Director, Senior Portfolio Manager at J.P. Morgan Asset Management. In that position, Mr. Bernum was a part of the Portfolio Management team, managing assets across various fixed income institutional portfolios and mutual funds.
Before his time at J.P. Morgan Asset Management, Eric was at Janus Capital Management LLC in a multitude of roles across the trading, fundamental analysis, and portfolio management functions; he was the Co-Head of Fixed Income Trading and an Assistant Portfolio Manager. In these roles, Eric managed a global team of seven traders and contributed to portfolio management decisions across all major fixed income strategies ranging from Intermediate/Core, High Yield, Credit only, Money Markets, Limited Duration, and Liability Driven/Long Duration strategies. Eric was also active in asset raising, client servicing, compliance and systems build out, and functions across the fixed income platform.
Eric earned his Bachelor of Science degree in Finance from Colorado State University, earning the Distinguished Scholar Award and attended the University of South Australia. He earned the Chartered Financial Analyst (CFA) designation and is a member of the CFA Society of Colorado. He has 14 years of financial industry experience. Eric earned the designation of Eagle Scout with Boy Scouts of America. With his family, Eric is involved in several charities in the Denver metro area. He is passionate about the fixed income markets, enjoys skiing and traveling the world with his family, and has a fond spot in his heart for Central Ohio sports teams and their supporters.
Why did you join Smith Capital Investors?
“Smith Capital Investors gives me the chance to work with a small group of committed investors who share a common philosophy and outlook on life, character, and investing. I believe alignment of character across team members limits the distractions within the investing process. In addition, the intense focus on clients’ needs, limits on bureaucracy, cohesive teamwork and the nimbleness of the firm allows for a much more tailored and comprehensive client experience. I believe this is a unique environment in the broader asset management world for both investors and clients.”
Favorite book, quote, thought, inspiration, lesson.
“Sweep the sheds – Never be too big to do the small things that need to be done” – James Kerr, Principles from the New Zealand All Blacks national rugby union team.
Roberta Tucker is an Investor at Smith Capital Investors, a position she has held since the firm’s inception. Prior to joining the firm, Ms. Tucker was a Global Client Portfolio Manager for the fixed income team at Janus Capital Management LLC. In this role she was a liaison between the investment team and the firm’s fixed income clients. Her responsibilities included relaying the team’s current market thoughts and portfolio positioning to clients as well as working with them to identify investment solutions for their portfolios. She has spent more than 35 years managing fixed income portfolios and working with clients to deliver investment solutions.
During her career Roberta has managed fixed income portfolios for mutual funds, public and corporate pension plans, insurance companies, corporate cash accounts, and individuals. In addition to her portfolio management expertise she successfully built and managed fixed income teams for several institutions. Her training expertise has helped educate sales teams and clients on the fixed income markets.
Roberta has been frequently quoted in numerous business publications including the Wall Street Journal and Barron’s on current events in the fixed income markets. Additionally, she has been a frequent speaker and panelist at industry events.
Roberta earned a Bachelor of Science degree in Finance from Bemidji State University. She is a member of the CFA Institute and CFA Society of Colorado. Roberta has held numerous volunteer board positions, and currently serves on the Board of Trustees of the YMCA of Metropolitan Denver.
Why did you join Smith Capital Investors?
“I joined Smith Capital Investors because I wanted to be in an organization that provides meaningful work and would allow me to develop meaningful relationships with people of high character.”
Favorite book, quote, thought, inspiration, lesson.
“I’ve learned that people will forget what you said, people will forget what you did, but people will never forget how you made them feel.” – Maya Angelou.
Kevin Branan is an Operations Specialist with Smith Capital Investors, a position he has held since the firm’s inception. Prior to joining the team Mr. Branan spent over 20 years in the technology industry, focusing on high-impact customer initiatives and utilizing the latest in technology to enhance the efficiency of organizations. He has extensive experience in driving vision through and measuring success to support the delivery of new services.
As a Director of Business Development, Kevin has also worked with numerous Fortune 500 clients and small to medium-size businesses to create and execute numerous strategic sales growth models based on data and statistics and has worked with their sales and operations teams through adoption. Throughout his career, Kevin has focused on gaining process efficiencies through operational analysis procedures to solve quality problems and has been involved in multiple quality improvement projects. Kevin earned his Bachelors of Science degree in Marketing from the University of Colorado at Boulder and spends his personal time traveling, hiking, enjoying time with friends. He has a passion for food and wine.
Why did you join Smith Capital Investors?
“I joined Smith Capital Investors for the opportunity to work with a group of individuals focused on building a company that creates positive results for our clients.”
Favorite book, quote, thought, inspiration, lesson.
“We must have the courage to do what we know is morally right.” – Ronald Reagan.
Founder of Smith Capital Investors. Mr. Smith founded the firm in a desire to bring outstanding people together to build a business that focuses on people and investing. He founded the firm on the belief that we are investors first and foremost and seek to be the best. Underlying the pursuit is hard work, dedication, and persistence. The firm centers around three key drivers – investing, people, and culture. Everything we do, say, and pursue will have to pass the test of these key drivers.
Gibson has 27 years of investment experience. He previously served as Chief Investment Officer, Fixed Income, of Janus Capital Management LLC, a position he had held from January 2006 through March 2016. In that position, Gibson was also a member of the Janus Executive Committee and Portfolio Manager of Janus Fixed Income strategies.
As Chief Investment Officer, Gibson was responsible for Janus’ investment process within the firm’s fixed-income division and served as Portfolio Manager on most of Janus’ fixed income strategies and funds. He has been credited with building the firm’s fundamental fixed income business.
Under his leadership, the business received multiple awards for strong performance and exceptional risk-adjusted returns generated for clients. Two of the funds he managed became two of the largest strategies at Janus prior to his departure – The Janus Balanced Fund and the Janus Flexible Bond Fund. Gibson joined Janus in 2001 after spending the first 10 years of his career at Morgan Stanley in Manhattan and San Francisco.
He is actively engaged with the University of Colorado at Boulder (graduated in 1991 with a degree in Economics). He chairs the Burridge Center at the Leeds School of Business at the University of Colorado, Boulder, sits on the Leeds School of Business Alumni and Friends Board, the University of Colorado Foundation Trustee Board, and the Investment Advisory Committee for the University of Colorado Treasury. He serves as the President of the Board at Country Club of the Rockies and previously served on the Board of Colorado Golf Club.
Gibson has a passion for investment management, leadership, security analysis, economics, the financial markets, and golf.
Why did you join Smith Capital Investors?
“I founded Smith Capital Investors with three primary focuses – Investing, People, and Culture. Every decision we make, every action we take, and everything we aspire to do is centered around these three components of our firm. Wrapped around these three focuses is a desire to serve: our employees, our partners, our clients, and our community. I am a strong believer that bringing great people together with a relentless commitment to a strong values-based culture can have an incredible impact.”
Favorite book, quote, thought, inspiration, lesson.
“What lies behind us and what lies before us are tiny matters compared to what lies within us.” – Ralph Waldo Emerson
“Surround yourself with great people and you will be great. Be very conscious of the company you keep as they will reflect your character.” – Jane Ross Smith.
Lindsay Bernum is an Investor at Smith Capital Investors, a position she has held since the firm’s inception. In her role, Ms. Bernum complements and leverages the strength of each team member to focus on capital preservation and produce risk-adjusted returns for our clients.
Prior to joining the firm, Lindsay was a Global Macro Analyst for the fixed income team at Janus Capital Management LLC. As the leader of the macro team, she was responsible for combining top-down, economic analysis with real-time, individual company data points to produce macroeconomic forecasts across the US and G7 economies. The forecasts were used within the portfolio construction process to help drive decision-making around sector exposure and overall portfolio duration and curve positioning. This unique view of the global economic world, combined with bottom-up fundamental analysis, was an extremely powerful alpha generation tool.
Lindsay individually and as part of a team published monthly and quarterly thought-leadership commentary around her unique macro view, as well as special topics including rising rates, inflation, and demographics; disseminated publicly across all major client distribution channels. She led monthly “Market Perspective” internal calls, providing fixed income macro views as well as portfolio positioning for the sales, distribution and marketing teams. Additionally, she was a frequent investment panel participant, presented to the board of directors, and contributed to marketing and asset growth.
Why did you join Smith Capital Investors?
“I joined Smith Capital Investors because there is no better way to channel my passion and energy than surrounding myself with a team of people with the highest character for a common good all while helping others.”
Favorite book, quote, thought, inspiration, lesson.
“Do things for people not because of who they are or what they do in return, but because of who you are.” – Mother Teresa.
Will McCurdy is an Investor at Smith Capital Investors. He joined the team as an Intern during his junior year at the University of Colorado Boulder and assumed a full-time position with the firm June of 2019. Will works with the team to enhance analytics and credit analysis.
During his time at the University of Colorado he held a position at the Burridge Center for Finance at the Leeds School of Business, where he was part of a team that helped students gear up to find a job in finance. During his time at the Burridge Center he helped plan and organize company visits for students at financial services companies in New York, Chicago, Denver, and other cities across the country. From March 2016 to January 2018, he worked as an intern at Wind Ridge Capital, where he assisted the managing director with deal sourcing in the private equity space. He was tasked with reaching out to and developing relationships with new clients at private equity firms and family offices. He also developed a prototype for a new website using HTML, CSS and JavaScript code, and was responsible for the recruitment of a new student intern.
Will earned a Bachelor of Science degree in Business Administration from the University of Colorado with a minor in Computer Science. Originally from Broomfield, Colorado, Will spends his free time golfing, playing basketball, snowboarding, hiking 14ers, and playing the guitar. He also spends his time following financial markets, coding in C++ and Python and developing simple programs, primarily to analyze sets of financial data.
Brinton Johns is a Sr. Advisor to Smith Capital Investors. He brings more than 19 years of industry experience to his role. Prior to joining the team, he spent 17 years at Janus Capital group where he served as an analyst, portfolio manager, and Technology team leader.
Brinton earned a Bachelor of Arts in Business Administration from the University of Texas and a Master of Arts from the Denver Seminary. He brings more than 19 years of financial industry experience to his role.
Retired Senior Vice President of Clinic Services Corporation and formerly President & General Manager of Seven-Up Bottling Company of Denver, John brings 48 years of business experience to this consulting role.
He has participated on national advisory boards providing brand and marketing strategies for the Seven-Up Company, The Canada Dry Corporation, The Squirt Company, and Hawaiian Punch (RJR).
Executive Director / Burridge Center for Finance / University of Colorado
Prior to joining Colorado University, Roberto was a managing director in the New York office of Goldman Sachs, where he spent fourteen years: twelve years as a strategist (focusing on commodity and credit derivatives), and then two years as risk manager for the global trading areas of the firm, creating and leading the counterparty risk management team.
Prior to that, Roberto spent two years at McKinsey & Co Italy as a business analyst, where he consulted for clients in the energy and banking sector.
Education:
MBA, MIT-Sloan, with a certificate in Financial Engineering
Ph.D., Electrical Engineering, University of Rome “La Sapienza”
Laurea, Electrical Engineering, University of Rome “La Sapienza”
