Portfolio Management

Gene T. Pretti  |  Chief Executive Officer, Chief Investment Officer

Gene Pretti is the firm’s Chief Executive Officer and Chief Investment Officer.  Prior to acquiring Zazove Associates in 1989, Gene worked for First Boston Corporation where he specialized in institutional equity sales. He also has served as an analyst with CUNA Mutual Insurance Co. and Robert W. Baird & Co.  He earned his MBA from the University of Wisconsin where he was selected for the Applied Program, an honors program emphasizing Security Analysis and Portfolio Management.

*Executive Committee Member

Christopher B. Cook, CFA  |  Portfolio Manager (High Yield) & Director of Credit Research

Chris earned his MBA from Northwestern University with concentrations in finance and accounting and graduated with honors. He received a BS in Mechanical Engineering from Duke University. Prior to joining Zazove Associates in 2000, Chris spent 13 years working in the institutional equity department of Credit Suisse First Boston, most recently as West Coast Equity Product Manager.

*Executive Committee Member

Greg Shorin, JD, CFA  |  Portfolio Manager (Global) & Director of Trade Operations

Greg earned his JD from the Georgetown University Law Center and his BA in Economics and Political Science from SUNY Binghamton. Prior to joining Zazove in 1997, Greg was a Senior Associate with the law firm of Baker & Botts where he specialized in the analysis of pricing practices by foreign corporations. He also served as Senior Counsel for Import Administration, where he advised the Department of Commerce on international trade matters.

Dan Weinberg, CFA  |  Portfolio Manager

Dan graduated from Dartmouth College in 2005 with an A.B. in Economics and Psychology. Before joining Zazove in 2012, Dan was a Vice President at J.P. Morgan responsible for west coast convertible and equity derivative origination. He also worked for J.P. Morgan in London as an Associate in Equity-Linked Capital Markets and in New York as an Analyst in Debt Capital Markets.

Justin Lu, JD, CFA  |  Assistant Portfolio Manager & Senior Credit Analyst

Justin earned his JD/MBA from Columbia University where he graduated Beta Gamma Sigma and received his BA from Dartmouth College in economics and mathematics. Prior to joining Zazove Associates in 2002, Justin worked in both the leveraged finance and technology investment banking groups at Merrill Lynch.

Convertible Research and Trading

Mark Ludviksen, CFA  |  Chief Quantitative Officer

Mark Ludviksen is the firm’s Chief Quantitative Officer, responsible for the risk management oversight of our portfolios. Over the years, he has designed and implemented various systems related to security analysis, portfolio management, risk management and client reporting. Mark earned his MBA in Finance and Economics at the University of Chicago’s Graduate School of Business, where he graduated with honors. Prior to joining the firm in 1992, Mark was with the investment firm of Noddings & Associates, Inc.

Nicholas Brown, CFA  |  Credit Analyst

Nick earned his MBA from New York University in 2003 with concentrations in Finance and Accounting and received his A.B. in Philosophy from Amherst College. Nick joined Zazove in 2009 having previously spent over five years as a distressed securities analyst with Cypress Management Advisors, LLC.

Mark Malcoun, JD, CFA  |  Credit Analyst

Mark earned his JD from the University of Pennsylvania Law School in 2001 and received his BA in English Literature from Dartmouth College. Prior to joining Zazove in 2009, Mark was with Merrill Lynch as a Vice President in the Investment Banking and Corporate Finance Group.

Alan Yu, CFA  |  Credit Analyst

Alan earned his MBA from the University of Rochester in 2004, and his BA from Fudan University in China. Prior to joining Zazove in 2012, Alan was a Vice President of Convertible Research at Merrill Lynch for five years. Prior to that Alan was a High Yield Analyst at Moody’s Investor Services.

Lauren Landfield, CFA  |  Analyst

Prior to joining Zazove in 2011, Lauren ran corporate finance at Rovi Corporation. Previously, he spent six years in investment banking including corporate finance and equity research, most recently at JP Morgan. Lauren earned bachelor degrees in both Economics and Rhetoric from UC Berkeley.

John Idone  |  Head Trader

John graduated from State University of New York and received his MBA from Pace University’s Lubin School of Business. Prior to joining Zazove in 2015, John was with CRT Capital as Managing Director, Credit and Convertible Sales. Previously, John traded convertibles on the sell side at Credit Suisse and on the buy side at TQA Investors and Templeton Quantitative Advisors. He began his career trading equity options and index arbitrage at Drexel.

Liam Nolan  |  Convertible Analyst/Trader

Liam earned his BA in Economics from St. Lawrence University in 2006. Prior to joining Zazove in 2015, Liam spent five years in Global Equity-Linked Capital Markets at Jefferies in New York, most recently as a Senior Vice President. Prior to working at Jefferies, Liam was in the Equity-Linked Capital Markets group at Bank of America.

Dale Hogan, CFA  |  Analyst and Trader

Dale earned a MS in Engineering and a BA in Economics from Stanford University. Before joining Zazove in 2016, Dale spent 7 years in London in leveraged finance as a high yield and distressed credit trader, most recently at Jefferies. Previously, he was a Senior Portfolio Manager at Barclays Global Investors, responsible for their Defined Contribution Portfolio Management team.

Business Development and Client Relations

Stephen D. Bard, CFA  |  Chief Operating Officer

As COO, Steve leads the client service, business development, technology and operations teams, while working closely with our investment team.

Prior to joining Zazove, Steve was a partner and COO at both Fuller & Thaler Asset Management and GSV Asset Management. He also co-founded Incline Fund Management, an alternative fixed income manager, and GSV Capital, a NASDAQ-traded BDC, where he managed their convertible bond offering. Previously, Steve held senior consultant and sales roles with Aon Hewitt, New York Life Investment Management and Fidelity Institutional Asset Management.

Steve holds a B.S. from Duke University and an MBA from the University of California, Berkeley.  He is a CFA charterholder.

Götz Sennhenn  |  Director, Client Relations and Business Development

Götz earned his MS in Finance from the University of Nevada, Reno in 2016, where he graduated Beta Gamma Sigma. As Director of Client Relations and Business Development, Götz plays an integral role in working with existing clients, as well as developing new relationships for the firm. Götz joined Zazove Associates in January 2011.

Jasmyn Carr  |  Office Manager and Marketing Associate

As the Office Manager and Marketing Associate for Zazove, Jasmyn plays a key role in the daily office operations as well as support for the Marketing team. Prior to joining Zazove in 2018, she was the Human Resources Generalist for an automated HR company. She earned her B.S. in Health Science from the California State University at Chico in 2009.

Operations, Administration and Technology

Steven Kleiman, JD  |  Executive Partner, General Counsel

Steve is an Executive Partner and the firm’s General Counsel. He has also been designated as the firm’s Chief Compliance Officer. Steve earned his JD from the UCLA School of Law where he graduated with highest honors. He received certification as a CPA in 1983. Prior to joining Zazove Associates in 1994, Steve was a Partner with the international law firm of McDermott, Will & Emery. Before that, Steve practiced law with Skadden, Arps, Slate, Meagher & Flom.

*Executive Committee Member

Jeremy King, CPA  |  Controller

Jeremy received his BS in Accounting from North Park University and is a Certified Public Accountant. Prior to joining Zazove in 1999, Jeremy was a Senior Accountant at Edelheit & Edelheit, Ltd., a CPA firm in Morton Grove, IL.

Sylviane Rabe  |  Executive Assistant to CEO

Sylviane earned her BA in Psychology from the University of California, Santa Cruz in 2001.  She has an integral role with Zazove supporting several departments and managing the affairs of the CEO & Senior Portfolio Manager, Gene Pretti.  Prior to joining Zazove in 2006, Sylviane was the West Coast Regional Sales Manager for MusicGiants, Inc.

Geneka Webb  |  Staff Accountant

Geneka earned her MBA from the Keller Graduate School of Management of Devry University in 2011 and her undergraduate degree from the University of Illinois. Geneka started her career in the investment industry at Zazove in 2002.

Elaine Cleary  |  Senior Trade Operations Associate

Elaine received her BS in Business Administration from UC Berkeley. Prior to joining Zazove in 1999, Elaine was with Bank of America as an accountant.

Richard Walman  |  Trade Operations Associate

Rich received a BA in Geography with a specialization in International Business and World Trade from the University at Buffalo in 1998. He has been with Zazove since 2004.

Kenny Jones  |  Trade Operations Associate

Kenny attended The Ohio State University and majored in economics.  Prior to joining Zazove in 2007, Kenny was with JPMorgan (Banc One legacy) for fifteen years, earning his NASD Series 7 and 63 licenses in 1996. Kenny served as Trader in various capacities with Banc One Securities Corporation and JPMorgan Investment Management Group.

Darren Reed  |  Director of Information Technology

Darren is a financial sector and FinTech expert with 20+ years’ experience leading and developing solutions for trade order management, portfolio accounting and reporting, client management, cybersecurity, disaster recovery, and SEC compliance.

Prior to joining the firm in 2003, Darren founded and operated a technology service provider company in San Francisco’s financial district. He holds a Bachelor of Science degree from the Florida Institute of Technology.

Bryan Price  |  Software Engineer

Bryan earned his MS from UC Santa Barbara in Computer Engineering in 1989 and received his BS from CSU Fresno in Electrical Engineering. Prior to joining Zazove in 1998, Bryan was a software developer in the tech industry, and also taught electronics and programming courses at a small college.

Our Founder

Dr. Earl Zazove  |  Founder

Dr. Earl Zazove founded the firm in 1971, and established the framework for the proprietary philosophy and approach to managing convertible securities we actively use today. He is an internationally recognized expert in convertible securities, as well as in the field of medicine.

Dr. Zazove grew up in Chicago and graduated from the Chicago Medical School during World War II. Attending school year-round, seven days per week, he completed his degree in just three years. After opening his practice, it became the official medical site for O’Hare Field Chicago International Airport. Dr. Zazove always maintained a casual interest in investing. After he sold his medical practice in the early 1970s, he opened an investment advisory company that specialized in convertible securities. During his tenure as President of Zazove Associates, he wrote the first book on puts and options. This book was published by the Dow Jones Company and sold out three printings. He sold Zazove Associates to our current CEO and Senior Portfolio Manager, Gene Pretti, in 1989.