Meet ARK

Cathie registered ARK Investment Management LLC (“ARK”) as an investment adviser with the U.S. Securities and Exchange Commission in January 2014. With over 40 years of experience identifying and investing in innovation, Cathie founded ARK to focus solely on disruptive innovation while adding new dimensions to research. Through an open approach that cuts across sectors, market capitalizations, and geographies, Cathie believes that ARK can identify large-scale investment opportunities in the public markets resulting from technological innovations centered around DNA sequencing, robotics, artificial intelligence, energy storage, and blockchain technology. As Chief Investment Officer (“CIO”) and Portfolio Manager, Cathie led the development of ARK’s philosophy and investment approach and has ultimate responsibility for investment decisions.

Prior to ARK, Cathie spent twelve years at AllianceBernstein as CIO of Global Thematic Strategies where she managed over $5 billion. Cathie joined Alliance Capital from Tupelo Capital Management, a hedge fund she co-founded, which in 2000, managed approximately $800 million in global thematic strategies. Prior to her tenure at Tupelo Capital, she worked for 18 years with Jennison Associates LLC as Chief Economist, Equity Research Analyst, Portfolio Manager and Director. She started her career in Los Angeles, California at The Capital Group as an Assistant Economist. Cathie received her Bachelor of Science, summa cum laude, in Finance and Economics from the University of Southern California in 1981.

Cathie has been recognized as an influential fund manager across various outlets. In 2018, editors at Bloomberg acknowledged Cathie by selecting her to its second annual Bloomberg 50 list of people across business, entertainment, finance, politics, technology, and science who have defined global business. Additionally, Fortune named Cathie to its exclusive roundtable of experts in the annual Fortune Investors Guide: The Best Investing Advice for 2019 From Fortune’s Experts. In 2016, Cathie received the “Women in Finance – Outstanding Contribution Award” from Market Media. Cathie also has been a featured speaker at the World Economic Forum (China) in 2016 & 2017, the World Strategic Forum (Miami) in 2017, The Sohn Hearts and Minds Investment Leaders Conference (Australia) in 2018 and 2019, and Singularity University’s Exponential Finance in 2017 and Global Summit in 2019.

In 2018, Cathie launched the Duddy Innovation Institute at her alma mater, Notre Dame Academy in Los Angeles. The institute offers a challenging educational experience for young women eager to stretch their learning beyond the boundaries of traditional acquisition of knowledge, while influencing a new way of thinking and learning throughout campus.

*The Adviser did not pay a fee to be considered for or granted any awards. The Adviser did not pay a fee or was required to be a member of an organization to be invited as a speaker at any of the noted events. For full Award Disclosure please go to our Terms & Conditions page. Past performance is not a guarantee of future results.

Brett joined ARK in February 2014 and has worked alongside Cathie for almost 15 years since their time at AllianceBernstein. As Director of Research, Brett guides and manages the proprietary research of ARK’s investment team. The team recognizes that disruptive innovation demands a dynamic and universal approach. By researching across sectors, industries and markets, ARK’s investment team seeks to gain a deeper understanding of the convergence and market potential of disruptive innovations, and thus size investment opportunities more appropriately.

Prior to ARK, Brett served as a Vice President and Senior Analyst on the Research on Strategic Change team at AllianceBernstein. In that role, Brett conducted thematic research, served on the thematic portfolios strategy committee under Cathie Wood’s stewardship, and advised portfolio managers across asset classes. His research topics included Global Energy in the Face of Carbon Dioxide Regulation; Social Media and the Rise of Facebook; the Reformation of the Financial Services Landscape; and the Emergence of Electric Vehicles. He also is the Founder and Principal at iamB Consulting, providing strategy consulting to early stage startups. Prior to 2007, Brett worked in business development in the Radio-Frequency Identification industry after serving as a founding teacher at a charter high school in Los Angeles. Brett earned his Bachelor of Science in Mechanical Engineering at the Massachusetts Institute of Technology (MIT).

Renato “Ren” joined ARK in October 2018. As ARK’s Client Portfolio Manager, Ren works directly with ARK’s investment team to communicate in-depth knowledge of investment-level detail to internal and external clients.

Prior to ARK, Ren was Vice President and Director of Investment Research & Due Diligence at Capital One’s Wealth & Asset Management division. He was responsible for leading the expansion of investment research, third-party investment manager platform, strategic asset allocation framework, and portfolio construction. He also worked as a client-facing portfolio manager, developing and maintaining institutional and high-net-worth client relationships. Prior to Capital One, Ren held various portfolio management, investment due diligence and analyst roles at Morgan Stanley Private Bank, Nomura Holdings, and Legg Mason, Inc. Ren is a CFA® and CAIA® charterholder, and earned his Bachelor of Business Administration in Accounting and Master of Science in Finance from Loyola University Maryland.

Thomas Hartmann-Boyce joined ARK in June 2021. As Client Portfolio Manager, Thomas works directly with ARK’s investment team to communicate in-depth knowledge of investment-level detail to internal and external clients.

Prior to ARK, Thomas was Vice President, Lead Portfolio Manager within the multi-asset solutions business at Goldman Sachs Asset Management for over five years where he managed customized portfolios for institutional clients. Prior to joining Goldman Sachs in 2015, Thomas held various client-facing positions at MSCI Inc. over the span of four years, with a key emphasis on business development within the exchangetraded funds team. Thomas is a CFA charterholder, and earned his Bachelor of Arts in International Affairs and Management & Business from Skidmore College.

Dan joined ARK in February 2021. As ARK’s Client Portfolio Specialist, he partners with ARK’s investment team to create and deliver insight and analysis to internal and external clients.

Prior to ARK, Dan was Vice President and Investment Strategist at Bank of America. His primary responsibilities were investment manager due diligence and portfolio construction for the model portfolios offered at Merrill Lynch and U.S. Trust Private Bank. Dan is a CFA Charterholder, and earned his Bachelor of Science in Finance from the University of Rhode Island.

Tasha joined ARK in January 2014 and is an Analyst for ARK’s Autonomous Technology and Robotics strategy. She covers autonomous cars, additive manufacturing, infrastructure development, and innovative materials.

Previously, Tasha spent almost three years as a management consultant for Applied Value, working primarily with manufacturing and automotive clients. Tasha is a graduate of Boston University’s Collaborative Degree Program with a Bachelor of Science in Business Administration with a Finance concentration, and a Bachelor of Arts in Mathematics and Statistics with a Pure and Applied Mathematics concentration.

Tasha frequently appears on CNBC, CNN, Bloomberg, and Fox Business. She has been quoted and her research has been featured in The Wall Street Journal, Forbes, Wired, the Verge, Bloomberg, CNNMoney, and Marketwatch, among other publications. She has been a featured speaker at the Annual Meeting for the Transportation Research Board, a division of the National Academy of Sciences, Engineering, and Medicine for the United States and at the Port Authority of New York and New Jersey on autonomous driving.

Sam joined ARK in July 2015. As an Analyst for ARK’s Autonomous Technology and Robotics strategy, Sam focuses on automation, robotics, energy storage, alternate energy, and space exploration.

Prior to ARK, Sam was a business development intern at Graphiq, a knowledge graph and visualization company. Prior to Graphiq, Sam worked as a captain for Sail Caribbean. Sam graduated from the University of Pennsylvania where he studied Cognitive Science with a concentration in Computation and Cognition.

Sam has appeared on CNBC, BNN and Cheddar TV, and has been quoted in The Wall Street Journal, CNN Money, the Los Angeles Times, among other publications.

Nick joined ARK in July of 2018. Initially, Nick served as ARK’s Trading/Research Associate.  Afterwards, he transitioned into his current role as an Analyst on the Next Generation Internet strategy. He focuses on digital media, streaming technology, and online gaming.

Prior to ARK, Nick worked at York International Insurance and Vestorly, a New York-based tech start-up. He also interned at Deutsche Bank, and Gamma Real Estate – a boutique commercial real estate firm. Nick graduated from the University of Michigan with a Bachelor of Arts in Political Science and a minor in Entrepreneurship.

Nick has been quoted by Business Insider for his research on video streaming services.

Yassine joined ARK in July 2018. As ARK’s Blockchain/Cryptoasset Analyst, his research focuses on cryptoasset portfolio allocation, cryptoasset institutionalization, and Bitcoin mining.

Prior to ARK, Yassine was a Summer Analyst at Rembrandt Venture Partners, a SaaS focused early stage venture capital firm; and Arena Investors, a registered investment adviser that originates investments with borrowers and other counterparties who need access to financing and are otherwise not able to access conventional sources. Yassine graduated from the University of Pennsylvania with a Bachelor of Science in Economics from Wharton and a Bachelor of Science in Systems Engineering from The School of Engineering.

Yassine has been quoted on Yahoo, Yahoo Finance, Coindesk, Bitcoin Magazine, and Asia Times, among other publications. Additionally, Yassine was a featured speaker at The Fidelity Mining Summit and has been a guest on notable crypto-focused podcasts, including Marty Bent’s Tales from the Crypt, Laura Shin’s Unchained, Bitcoin Magazine, and Anthony Pompliano’s Off The Chain.

Max joined ARK as an Analyst for ARK’s Fintech strategy in December 2018. He focuses on payments, digital wallets and the venture capital space.

Prior to ARK, he spent nearly two years at Redstone, a Berlin-based venture capital firm. Max also was Research Assistant at the Centre for European Economic Research (ZEW) where he studied the syndication behavior of venture capitalists and subsequent effects on their portfolio companies. Max obtained his Bachelor of Science in Economics from the University of Heidelberg.

Max has appeared on TD Ameritrade Network and has been quoted in Financial Times, Forbes, CNBC, among other publications.

Simon joined ARK as an Analyst on the Genomic Revolution strategy in October 2018. His focus is on next generation DNA sequencing, molecular diagnostics, bioinformatics, and synthetic biology.

Prior to ARK, Simon was an engineering intern at Tissue Analytics—a software firm that utilizes computer vision and machine learning to analyze chronic wounds. Previously, Simon was a research intern at South Texas Accelerated Research Therapeutics (START) and Oncopath Laboratory, where he focused on novel anticancer agents and molecular tissue profiling, respectively. Simon graduated from the Johns Hopkins University in 2018 with a Bachelor of Science in Chemical and Biomolecular Engineering and a focus on computational biomedicine.

Simon has appeared on Cheddar TV, Investor’s Business Daily, and TD Ameritrade.

Alexandra “Ali” joined ARK as an Analyst on the Genomic Revolution strategy in February 2020. She focuses on gene editing, stem cell and novel immunotherapy technologies.

Prior to ARK, Ali conducted clinical cancer research at the Memorial Sloan Kettering Cancer Center and the Montefiore Medical Center; and was a Senior Research Program Manager at IBM Watson Health. Ali incorporated her own consulting firm in 2018.  Ali has a Bachelor of Arts from McGill University and a Masters in Epidemiology and Community Health from New York Medical College. She has additional training from the MIT Labs in Human-Computer Interaction for User Experience Design.

Ali has published over 25 articles spanning cancer research, AI and space medicine. She has three filed patents and received the Manager’s Choice Award in 2017 and 2018, and the Rookie of the Year Award in 2017 from IBM Watson Health.

Frank joined ARK in April 2021. As an Analyst for ARK’s Next Generation Internet strategy, Frank focuses on Cloud Computing, Software-as-a-Service, and Cryptoassets.

Prior to joining ARK, Frank was a Senior Technology Consultant in Deloitte’s Cloud Engineering practice. His skill set lies in data engineering, full stack web development, product management, and technology strategy. Additionally, Frank is passionate about the disruptive potential for decentralized applications across industries.

Frank holds a Bachelor’s of Business Administration from the University of Michigan, with a focus in Technology and Information Systems and a minor in Computer Science.

Pierce Jamieson joined ARK as a Research Associate for the Genomic Revolution strategy in July 2021. His role involves supporting analyst coverage of companies through data acquisition and analytics, and performing due diligence on ARK research areas.

Prior to ARK, Pierce received his B.S. in Biology from Texas A&M and subsequently did his graduate studies at the Texas A&M Institute for Plant Genomics and Biotechnology. There he enjoyed a multidisciplinary training and published several papers, reviews, and commentaries in the field of molecular plant pathology. Pierce’s research interests included the pervasive plant and human pathogen Fusarium oxysporum, as well as the effects of per- and polyfluoroalkyl contaminants on plant physiology and development. Pierce also started a small hedge fund before working at ARK which focused on the rapidly evolving Ethereum blockchain/ecosystem and decentralized finance space.

Nishita joined ARK as a Research Associate for ARK’s Fintech strategy in April 2021. Prior to ARK, Nishita was an intern at Pantera Capital, an investment firm focused on blockchain technology. While in college, she interned as a business analyst at McKinsey and a software engineer at Apple, Facebook, and Bloomberg. Nishita graduated from the University of Pennsylvania with degrees in Economics and Computer Science, from Wharton and the School of Engineering respectively.

In her free time, Nishita teaches computer science skills to high-school students through a virtual program she co-founded to help diversify the tech pipeline.

Andrew joined ARK in September 2020. As an Analyst Intern, he provides assistance to the analyst team and broader firm. He primarily supports ARK’s Next Generation Internet strategy.

Prior to ARK, Andrew interned as an investment banking summer analyst at Goldman Sachs in New York and a growth equity summer analyst at BlueRun Ventures (BRV Capital Management) in Seoul. Andrew is currently an undergraduate at Harvard University studying economics and statistics.

Will joined ARK in October 2014. As Trading Manager, Will manages execution of trades, monitors portfolio performance in real time, and keeps the investment team apprised of breaking news effecting portfolio companies. Will works directly with Cathie, Tom, and the analyst team to implement desired investment strategies.

Prior to ARK, Will was an intern at TIAA-CREF with responsibilities including financial modeling and forecasting for numerous business and technology projects. He received his Bachelor of Science in Accounting, cum laude, from Bryant University in Rhode Island. Will currently is studying to earn a Master of Business Administration from Baruch College’s Zicklin School of Business.

Nate joined ARK in October 2019. In his role as Trader, Nate works closely with ARK’s Operations and Portfolio Management teams to help manage ARK’s investment strategies.

Prior to ARK, Nate worked at ITG and later Virtu (who acquired ITG in 2019) on the Execution Management System and Workflow teams. His responsibilities included training clients on ITG’s trading systems, creating custom workflows to more efficiently execute in the markets, and running various analyses to determine potential cost efficiencies. Nate received his Bachelor of Science in Commerce from The University of Virginia McIntire School of Commerce with a concentration in Finance and Information Technology.

Julian joined ARK in January 2021. In his role as Assistant Trader, Julian works closely with ARK’s Research, Investment, and Compliance teams to help manage model portfolios and execute trades.

Prior to ARK, Julian worked as a Senior Associate at Preqin, an alternative asset research firm. At Preqin, he conducted and published research on hedge fund trends, provided global macro market commentary to clients, and helped advance the quality of their proprietary database. Julian graduated from Fairfield University, summa cum laude, with a Bachelor of Science in Economics and Finance. Julian has competed in financial trading competitions, presented to the Federal Reserve Bank of New York, and has been quoted in Hedgeweek and Institutional Investor. 

James “Jay” joined ARK in April 2018. As ARK’s Chief Administrative Officer, James oversees administrative aspects of the firm’s operations.

Prior to joining ARK, James was Senior Vice President, Head of Business Intelligence during a 25+ year career with Jennison Associates LLC, where he first worked with Cathie. While at Jennison, James served in several capacities and was a member of the Prudential Global Investment Management Diversity and Inclusion Think Tank. He began his career with National Westminster Bank, PLC. James is passionate about financial literacy and economic justice initiatives. He is active in his community and serves on several charity and advisory boards and committees. James received his Bachelor of Science in Accounting from Virginia State University and his Master of Business Administration from New York University, with specializations in leadership and corporate finance.

As ARK’s Chief Operating Officer, Tom manages and oversees the daily operations of the firm, screens financial markets for new opportunities, and evaluates and implements ARK’s product portfolio. Tom joined ARK in June 2014 and was responsible for building out ARK’s trading desk, trade integrations, and day-to-day ETF operations. He later became Head of Product Development and led the launch of additional ARK investment solutions in the US and overseas.

Prior to joining ARK, Tom worked in a sales and consulting role for WILX. Prior to WILX, Tom interned at Fidelity Investments in its mutual fund department and consulted on millennial investing behavior at TIAA-CREF. Tom received his Bachelor of Business Administration, magna cum laude, in Finance and Economics from the University of Notre Dame; a Master of Arts in Telecommunications Policy from Michigan State University; a Master of Science in New Media Management from the Newhouse School at Syracuse University; and his Master of Business Administration from Cornell University.

As ARK’s Chief Financial Officer, Paul is responsible for the financial aspects of the firm, including reporting, treasury, accounting, tax, and financial controls.

Before joining ARK, Paul was Chief Financial Officer for ORIX’s U.S. business with approximately $80 billion of assets under management, administration, and servicing, including $10 billion held on the balance sheet.  At ORIX, Paul held positions on the U.S. Board of Directors and its significant subsidiaries in corporate finance, M&A advisory, real estate, and private and public equities.  He is a CPA with extensive M&A, tax, corporate development, treasury experience.  Before joining ORIX, Paul worked in public accounting with Ernst and Young.  Paul received his Bachelor degree in Accounting and Master’s degree in Tax from Baylor University.  Paul currently serves on the board of Healing Hand Ministries, a community-based healthcare center providing barrier-free access to healthcare for the uninsured and underinsured in its areas of operation, and is an advisor to two other charities, Retina Foundation of the Southwest and Family Gateway, a charity serving the homeless families.

Jana joined ARK in March 2021. As ARK’s Chief Strategy Officer, Jana oversees all strategic business opportunities for the firm.

Prior to joining ARK, Jana spent more than 14 years at MSCI, most recently serving as a Managing Director and Head of Index Products, Americas & EMEA and Global Head of Fixed Income Indexes. She was a member of the Index Risk and Regulatory Committee and Investment Committee for MSCI’s US Retirement Plan. In her prior role, Jana served as Managing Director and head of MSCI’s Chicago office, where she built and led a team of top performing institutional sales specialists and consultants. Prior to MSCI, Jana garnered extensive global finance experience in diverse roles, among them Global Head of Equity and Equity Index Derivatives Market Making at HypoVereinsbank in Munich and Convertible Bond Arbitrage Portfolio Manager at Richie Capital, a Chicago-based hedge fund. She also co-founded the Private Equity Group in Prague and held several roles at Chicago Research and Trading Group (CRT). Jana holds an MBA from the University of Chicago Booth School of Business.

Bill joined ARK as the Principal Financial Officer of Investment Products in June 2018. With over 30 years of experience in fund accounting and administration, he leads investment product, account, and fund procedural activities for ARK.

Prior to ARK, Bill was Fund Principal Financial Officer at Foreside Financial Group, LLC, where he served as outsourced Chief Financial Officer for the ARK ETF suite. Bill worked at State Street Corporation for over 15 years, rising to Department Head and Vice President of Fund Administration. Over the period, Bill served as Fund Treasurer/Assistant Treasurer for 56 clients with 750 funds, totaling approximately $70 billion in assets, and oversaw a team of 125 professionals. Before State Street, he was an Assistant Vice President for Putnam Investments in Boston for almost five years, covering Compliance, Risk Reporting and Financial Reporting. Bill is a Certified Public Accountant (“CPA”), and started his career as a Senior Auditor for Arthur Andersen & Co. Bill is a CPA and graduated from Southern New Hampshire University with a Bachelor of Science in Management Advisory Services (Accounting and Computers).

Jennifer joined ARK in May 2021. As ARK’s Controller, she manages ARK’s financial information, statements, books and records. She also assists in financial planning & analysis and supports tactical and strategic initiatives.Prior to joining ARK, Jennifer spent 6 years as CFO and COO of Buzzup Digital, a digital and technological consulting company, where she handled all accounting, operations, hiring and strategic initiatives. In her previous role, Jennifer served as the first CFO of the investment manager Feirstein Capital Management for over 13 years. She held full accountability for creating a financial management and accounting infrastructure and robust reporting capabilities for the portfolio manager, trading staff, and analysts and leveraging technology to drive process and performance improvement. Jennifer also served as Controller of Ramius Capital Group and Brahman Capital Management, and was a senior auditor within the asset management group at Ernst & Young LLP earlier in her career. Jennifer holds a CPA and an MBA in Finance from NYU Stern School of Business.

Althea joined ARK in April 2014. As Executive Assistant to the Chief Executive Officer, Althea oversees and manages ARK’s administrative support for Cathie Wood and the executive team. She serves as a main point of contact between all employees and external partners.

In 2002, Althea began her career at AllianceBernstein where she worked for twelve years as an Administrative Assistant to Cathie, who was the Chief Investment Officer for Global Thematic Strategies. On behalf of the Thematic team at AllianceBertstein, Althea also collaborated and coordinated with several senior level managers and investment professionals around the world.

Alexandria “Alex” Lloyd joined ARK in October 2019. As Administrative Assistant, Alex manages day to day tasks for the executive team, sourcing and coordination for special events and the document archives.

Prior to ARK, Alex worked in Digital Marketing at L’Oreal USA and the Equities division at Deutsche Bank Securities. Alex earned her Bachelor of Arts in English & Creative Writing with a Certificate in Gender Studies from The University of Maryland at College Park.

Beth joined ARK in October 2021. As Administrative Assistant, Beth manages day to day tasks for the executive team and assists any others where needed. Prior to ARK, Beth worked five years as Executive Assistant for MHK, a healthcare organization based out of Tampa, FL. Beth is currently attending online courses at WGU college.

Sebastian joined ARK in June 2014. As ARK’s Chief Marketing Officer, Sebastian is responsible for facilitating ARK’s marketing strategy and overseeing its implementation across channels and partners. He manages ARK’s digital marketing execution and tracks key success metrics.

Prior to ARK, Sebastian worked for several years in advertising and corporate communications. As a Project Manager for the media agency Oestreicher+Wagner, he worked closely with companies such as BMW Group, Novartis, and AMB Generali to guide their transition to mobile devices and digital publishing. He also founded his own design and marketing consulting firm in 2016. Sebastian consults for several early stage companies in areas of fintech, artificial intelligence (AI), and maritime shipping, amongst other tech startups. Sebastian received a Bachelor of Engineering in Media Technology from Munich University of Applied Sciences. He is a German Fulbright Scholar and earned his Master of Science in New Media Management from the Newhouse School, as well as a Master of Business Administration from the Maxwell School at Syracuse University.

Lisa joined ARK in July 2015. As Head of Communications & PR, she focuses on marketing operations and oversees ARK’s global corporate communications and public relations strategies.

Prior to ARK, Lisa worked for five years at the Pioneer Companies, a national commercial real estate company headquartered in Syracuse, New York. As Marketing Manager, she collaborated with all departments to design and implement marketing strategies across platforms that built brand recognition and fostered business development. Lisa received a Bachelor of Arts in Sociology and Anthropology from Colgate University and was a member of its Division I Women’s Varsity Ice Hockey program. She also received a Master of Science in New Media Management from Syracuse University’s Newhouse School of Public Communications.

Pascal joined ARK in September 2021. In his role as Digital Lead, Pascal helps leverage data and technology to expand ARK’s digital offerings as well as support internal operations.

Previously, Pascal spent over four years at Bosch where he helped start and scale an AI startup in the manufacturing space. Pascal graduated from TU Munich with a Bachelor of Science in Technology and Management, as well as a Master of Science in Information Systems. During his studies, Pascal had the chance to work at ARK as an Analyst covering the Next Generation Internet strategy. Over the last few years, he’s also contributed to the team as a Theme Developer.

Caroline joined ARK in September 2016. In her role as a Marketing Manager, Caroline implements and manages ARK’s social media and marketing strategy. Additionally, she manages and produces all photography and video content for ARK’s website and social media platforms.

Prior to joining ARK, Caroline worked for a photography studio and art gallery while devoting her free time to fundraising at Save the Children. She graduated from Gettysburg College with a Bachelor of Arts degree with honors in Art History.

Matthew joined ARK in January 2021. In his role as Marketing Manager, Matt implements and manages ARK’s social media and marketing strategy. In addition, he also helps to create and maintain ARK’s workflow and client communication processes.

Prior to joining ARK, Matthew launched a digital media consulting firm where he aided companies, including ARK, in online marketing and social media strategy and execution. Prior to launching his firm, Matthew worked seven years as Associate Athletics Communications Director at Purdue University where he developed public relations strategies and ran social media accounts for the department. In 2016, the USTFCCCA recognized Matthew for his efforts with the association’s Excellence in Communications award. Matthew is a Purdue University graduate with a Bachelor of Arts degree in Public Relations and Rhetorical Advocacy.

Michael joined ARK in September 2021. In his role as Marketing Associate, Michael operates as a fund marketer and digital generalist, working on email campaigns, podcast publishing, and web content.

Prior to joining ARK, Michael worked at Diamond Hill Capital Management, where he managed the podcast publishing process, operated social media channels, built web content, and ran digital ads. Before Diamond Hill, Michael worked at a boutique digital marketing agency called The Media Captain where he led two client accounts, shot and edited video and photos, and managed a blog. Michael graduated from Ohio University Magna Cum Laude in 2020, earning a Bachelor of Science in Journalism, a Marketing Minor, and a Social Media Certificate.

As ARK’s General Counsel, Forest is responsible for overseeing and advising on all legal and compliance matters of the firm.

Prior to joining ARK, Forest was the General Counsel of Angelo, Gordon & Co., L.P., a leading, multi-national alternative investment manager, where he led the global legal and compliance functions for nearly 12 years. Prior to Angelo Gordon, Forest was an Executive Director at Morgan Stanley, where he oversaw U.S. legal coverage of the Private Wealth Management Division.  Prior to that, Forest provided legal coverage for a variety of Morgan Stanley businesses, including structured investments, restricted securities and several capital markets groups. Forest began his legal career at Sullivan & Cromwell LLP where he worked in both London and New York, specializing in securities, mergers and acquisitions and general corporate law. Forest holds a Bachelor of Arts in International Studies from Emory University and a Juris Doctorate with High Honors from Emory University School of Law. Forest is admitted to practice law in New York.

Kellen joined ARK in April 2016. As ARK’s Corporate Counsel and Chief Compliance Officer, Kellen provides a full range of regulatory, compliance and legal advice to ARK on all business matters.

Kellen began his career at the U.S Securities and Exchange Commission (“SEC”) as a Securities Compliance Examiner at the Office of Compliance, Inspections, and Examinations (“OCIE”) in the SEC’s New York regional office. After OCIE, Kellen was an Attorney-Adviser in the SEC’s Division of Investment Management’s Risk and Examinations Office. Subsequently, Kellen was a Management Consultant at Ernst & Young, LLP in the Wealth and Asset Management group. Kellen received his Bachelor of Science in Human and Organizational Development with a concentration in International Development from Vanderbilt University and his Juris Doctorate degree from Howard University School of Law. Kellen is admitted to practice law in New York and Georgia.

Romane joined ARK as Director of Compliance in June 2018. He assists the Chief Compliance Officer in providing a full range of regulatory and compliance advice and oversight.

Romane has over 23 years of industry experience and began his career as a Case Manager at Ernst & Young LLP in the General Counsel’s Office. Romane then joined Morgan Grenfell (a subsidiary of Deutsche Asset Management) as a Compliance Officer supporting the Small & Micro Cap equity business and later transitioned to a Client Portfolio Manager role.  Subsequently, Romane accepted a position as Vice President of Separate Account Compliance at J. & W. Seligman Inc. and later transitioned to several senior administration and investment operations roles, culminating as the Vice President of Private Funds, Wrap & Trust Administration for Columbia Management Investment Advisers, LLC.  Romane graduated from Fordham University with a Bachelor of Arts in Middle Eastern Studies and History, and was a member of the US Army Reserve component.

Ariel joined ARK in August 2019. As ARK’s Due Diligence and Compliance Manager, Ariel is responsible for the project management and completions of RFPs, RFIs and DDQs as well as reviewing ARK’s marketing materials to ensure compliance with regulatory and firm guidelines.

Prior to ARK, Ariel worked as a Senior Compliance Associate at WisdomTree Asset Management. In that role, she supported the sales and marketing departments by reviewing advertising, RFPs, and DDQs. At WisdomTree, she enhanced the firm’s compliance program by testing and drafting compliance policies and procedures, among other things. Prior to that, she worked as a Senior Paralegal at OppenheimerFunds. In that capacity, she reviewed advertisements and helped prepare regulatory filings. Ariel earned her Bachelor of Arts in History from Scripps College.

Harry joined ARK in April 2021. In his role as Compliance Manager, Harry works closely with ARK’s CCO and Compliance team, primarily focusing on trading and investment compliance oversight.

Harry has worked in the securities industry for over 23 years. He began his career with Vanguard Brokerage and Fleet Securities trading both Fixed Income and Equities. In 2002, Harry joined The Bank of New York Capital Markets trading desk and in 2005 was appointed Managing Director and Head of Institutional Trading and Sales. Harry successfully built and executed an equity trading program that facilitated the trading for the bank’s institutional clients which included: Family Office, Hedge Funds, Pensions, Endowments, Corporations, etc. Harry led his trading team at BNY Capital Markets in building an Exchange Traded Product desk where they became the Authorized Participants for the bank’s ETF issuers. Harry has spent the past four years in Compliance with Lincoln Investments. His primary focus has been ensuring compliance with all aspects of trade supervision and surveillance.

Makenzi joined ARK in April 2021. In her role as Compliance Associate – Code of Ethics & Product Compliance, Makenzi is responsible for the supervision and implementation of the firm’s Code of Ethics program and private vehicle oversight processes.

Prior to ARK, Makenzi served as a generalist Compliance Analyst for King Street Capital Management (“King Street”) for four years. At King Street, Makenzi spearheaded the firm’s KYC/AML and Code of Ethics programs, facilitated all regulatory filings and handled the review of all third-party relationships. Prior to King Street, Makenzi worked in multiple roles at HSBC for three years.

Makenzi graduated from Boston University with a Bachelor of Science in Business Administration with a concentration in Finance.