Edward Bernard, Committee Chairman
Mr. Bernard retired from T. Rowe Price Group in 2019 and now serves as a Senior Advisor to the firm. During his 30-year tenure, Mr. Bernard served in several capacities including vice chairman of the corporate Board of Directors, chair of the Board of Directors of TRP Mutual Funds, and as a member of the Management Committee. He also served on the Board of Governors of the Investment Company Institute, and as Chair during 2009-11. Mr. Bernard earned an M.B.A. from New York University, and a B.A. from Brown University.
Mr. Bajkowski is the President and Chief Executive Officer of the American Association of Individual Investors (AAII), a nonprofit organization. He has authored articles, led educational seminars and developed stock and fund analysis tools for individual investors seeking to become effective managers of their assets. Mr. Bajkowski holds a bachelor’s degree from DePaul University.
Jane Carten is President, Director, and Portfolio Manager at Saturna Capital, in Bellingham, WA. She currently serves on the Board of Governors for the Investment Company Institute and the Board of Whatcom Business Alliance. She is also a member of the Young President’s Organization and is active in the Bellingham Bay Rotary. Ms. Carten received her BA (in Computer Science and Business) and MBA from Western Washington University.
Mr. Draeger is the President-Elect, General Counsel, and Director of Wealth Management of R.M. Davis, Inc., an independent wealth management firm operating and SEC-registered since 1978. For over 20 years, he has served in governance, executive, and legal roles at the SEC, Citigroup’s Corporate & Investment Bank, and as Chair of the Asset Management Industry Group at Bernstein Shur. Mr. Draeger has represented asset management firms, family offices, mutual funds/ETFs (and their boards), securities intermediaries, and institutional investors around the world in the full range of their corporate needs.
Mr. Durbin is President of Fidelity Institutional, Fidelity’s business unit dedicated to serving financial intermediaries and institutions, which offers investment and technology solutions, clearing and custody services, and institutional trading products and services. Prior to Fidelity, he held leadership roles at Morgan Stanley in wealth management, capital markets and risk. Mr. Durbin received his Bachelor of Business Administration degree in Finance and Economics from the University of Notre Dame in 1990. In 1998, he received his M.B.A. from the Leonard N. Stern School of Business at New York University.
Mr. Garcia graduated from Yale University and worked at Salomon Brothers before returning home to Texas. He is now the Managing Partner of Garcia Hamilton & Associates, a $14.7 billion fixed income money manager. Mr. Garcia serves on many boards and is involved in numerous activities with his four children.
Mr. Greff is the Chief Investment Officer of the Ohio Public Employees Retirement System (OPERS) and oversees roughly $100 billion in pension plan assets. Prior to this position, he served as Deputy CIO for two years and Senior Portfolio Manager overseeing the Global Fixed Income department. Previously, he was Senior Managing Director and Head of Global Fixed Income at State Street Global Advisors in Boston. He has 30 years of investment industry experience. Mr. Greff holds a bachelor’s degree in Political Science from Kalamazoo College, an M.B.A. in Economics from the University of Detroit and has been a CFA charterholder since 1994.
Mr. Hall is the Deputy Chief Investment Officer of the University of Texas/Texas A&M Investment Management Company (UTIMCO). He previously was the Head of Private Equity at Harvard Management Company and at the Teacher Retirement System of Texas and has worked as an M&A Investment Banker. He started his career as an Officer in the United States Navy. He holds a master’s degree from Northwestern University’s Kellogg School of Management and a bachelor’s degree from Harvard College.
Ms. Hathi is Executive Vice President and Chief Digital Officer of the Charles Schwab Corporation. She has held a range of leadership roles at Schwab across both the retail and institutional businesses. Prior to Schwab, she led marketing, strategy and finance functions at technology start-ups in the San Francisco Bay Area and began her career in financial services as an investment banking analyst. Ms. Hathi holds a Bachelor’s of Business Administration from the University of Michigan and a M.B.A. from the University of California Los Angeles.
Mr. Jivraj is a Partner at Ernst & Young LLP, a professional services firm, where he leads the Wealth and Asset Management Assurance and Advisory Sector in their Mid-Atlantic region. He is an assurance partner with a primary focus on registered mutual funds and unregistered funds. He previously has experience at the SEC as an Assistant Chief Accountant within the Division of Investment Management. Mr. Jivraj holds a bachelor’s degree from Binghamton University and is a Certified Public Accountant.
Renee LaRoche-Morris joined State Street in 2021 as the Chief of Staff (CoS) to the Chief Operating Officer and as the Head of Chief Administrative Officer Services. In the CoS role, Renee is the central point-of-contact for business management across the division globally, providing management support and engaging all business management functions, as well as providing direction and mentorship to management teams on global initiatives. In the CAO role, Renee leads the corporate CAO team in the execution of corporate initiatives. Prior to State Street, Renee was a Managing Director at BNY Mellon, where she held several roles including Chief Operating Officer of Investment Management and Chief Financial Officer of Wealth Management.
Renee holds FINRA Series 7 and 24 Licenses and holds a BA in Foreign Affairs from the University of Virginia and an MBA in Finance and Marketing from the Columbia Business School.
Ms. McGee serves on the boards of directors of Goldman Sachs BDC, Inc., Goldman Sachs Private Middle Market Credit LLC and Goldman Sachs Private Middle Market Credit II LLC. She served as President of U.S. Global Investors, Inc., a publicly-traded registered investment adviser specializing in metals, mining and natural resources, from 1998 to 2018 and as the company’s General Counsel from 1997 to 2018. She also served on the Investment Company Institute Board of Governors from 2008 to 2018. Ms. McGee received her bachelor’s degree (magna cum laude) in Accounting from the University of Houston, and earned a J.D. (magna cum laude) from St. Mary’s Law School.
Mr. Ptak is Head of Global Manager Research for Morningstar Research Services LLC, a wholly-owned subsidiary of Morningstar, Inc. Before assuming his current role in 2015, Mr. Ptak was President and Chief Investment Officer of Morningstar Investment Services, Inc., an investment unit that provides managed portfolio services through fee-based, independent financial advisors, for six years. He joined Morningstar in 2002 as a senior mutual fund analyst and has also served as Director of ETF Analysis, Editor of Morningstar® ETFInvestorSM, and an equity analyst. He briefly left Morningstar to become an investment products analyst for William Blair & Company, and earlier in his career he was a manager for Arthur Andersen. Mr. Ptak holds a bachelor’s degree in Accounting from the University of Wisconsin and the Chartered Financial Analyst® designation.
Mr. Sirri is a Professor of Finance at Babson College. From 2006 to 2009 Mr. Sirri was the Director of the Division of Trading and Markets at the SEC, and he currently is an independent trustee of the Natixis Funds, Loomis Sayles Funds and Natixis ETFs. Mr. Sirri received a B.S. in Astronomy from the California Institute of Technology, an M.B.A. from UC Irvine, and a Ph.D. in Finance from UCLA.
Ms. Soe is Managing Director and Global Head of Product Management at S&P Dow Jones Indices (SPDJI). She is responsible for the commercial success of each of SPDJI product line. Prior to the role, she was the Head of the Americas Research team. She is also an adjunct professor in Finance at Hofstra University’s Frank G. Zarb School of Business. Ms. Soe holds an undergraduate degree in Economics from Tufts University and a master’s degree in Economics from Fordham University.
Mr. Stevens is Founder and Chief Executive Officer of Stone Ridge Asset Management, Executive Chairman of the New York Digital Investment Group (NYDIG), and Advisory Chairman of the Stevens Center for Innovation in Finance at University of Pennsylvania’s Wharton School. He earned his Ph.D. (Finance and Statistics) from the University of Chicago’s Booth School and his B.S.E. (Finance) from University of Pennsylvania’s Wharton School.
Mr. Subramaniam is the Head of Systematic Asset Management at GTS in New York, a quantitative trading and asset management firm that leverages the latest in artificial intelligence systems, machine learning and execution technology. Prior to joining GTS in 2016, he served in leadership positions at Barclays, HSBC, Deutsche Bank and KPMG. Mr. Subramaniam graduated with degrees in Economics and Law from the University of Melbourne and Monash University in Australia.
Mr. Suydam serves as the Chief Legal Officer of Apollo Global Management, a position he has held since 2006. He received his J.D. from New York University and graduated with a B.A. (magna cum laude) in History from the State University of New York at Albany.
Dr. Wermers holds the Dean's Chair in Finance at the University of Maryland's Smith School of Business, where he is also Chairman of the Finance Department. His research focuses broadly on the economics of the asset management industry. He is co-author of “Performance Evaluation and Attribution of Security Portfolios,” a scientific textbook on the latest methods to assess the performance of investment managers. Dr. Wermers currently serves as a consultant to both Zacks Investment Research in Chicago and T. Rowe Price Group, Inc. in Baltimore.
Mr. Glass was appointed as the Indiana Securities Commissioner in July 2015. He is responsible for upholding Indiana’s securities laws, regulating industry professionals and protecting investors. He is an active member of the North American Securities Administrators Association (NASAA) and currently serves as Chair of the Investment Adviser Section and is a member of the Senior Issues/Diminished Capacity Board Committee. Mr. Glass is a graduate of the Indiana University Kelley School of Business and the Indiana University McKinney School of Law.
Mr. Savage is a Vice President and Counsel in FINRA’s Office of Regulatory Analysis. Mr. Savage specializes in a broad range of securities regulatory matters, including investment management, investment company, advertising and broker-dealer issues. Prior to joining FINRA, he was worked for the Investment Company Institute and was in private practice with two law firms. Mr. Savage holds a bachelor’s degree from the University of Virginia, a master’s degree in public policy from the University of California, Berkeley, and a J.D. from the University of California, Hastings College of the Law.
Modified: April 16, 2021