Client Relations and Business Development
Administration, Finance and Legal

Alan Yu, CFA   |   Senior Research Analyst

Alan Yu, CFA joined Zazove Associates in 2012. He is a senior research analyst for the global healthcare sector. He performs fundamental research on the companies in his coverage universe and advises portfolio managers on buy and sell activities. Prior to joining Zazove, Alan spent 5 years at Bank of America Merrill Lynch as Vice President, Research Analyst for the convertible bond sales and trading desk. He earned his Master of Business Administration degree in Finance from the Simon School of Business, University of Rochester.

Bryan Price   |   Software Engineer

Bryan Price has been developing software for the past three decades since leaving a teaching position at a technical college. He has developed numerous proprietary applications at Zazove including our trade order management system, our compliance engine, and our trade activity reporting systems. He earned a Master of Science in Computer Engineering from University of California, Santa Barbara and a Bachelor of Science in Electrical Engineering from California State University, Fresno.

Christopher B. Cook, CFA   |   Portfolio Manager & 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

Dale Hogan, CFA   |   Assistant Portfolio Manager and Trader

Dale Hogan, CFA is an International Analyst and Trader with 19 years of investment experience. Dale’s responsibilities include the analysis and trading of all convertibles from issuers based outside of the US. In addition, Dale assists with portfolio management for the Global Strategy. Dale was previously a high yield credit trader in London, most recently with Jefferies. Dale is a CFA Charterholder, and he earned a Bachelor of Arts in Economics and a Master of Science in Engineering from Stanford University.

Dan Weinberg, CFA   |   Partner and Portfolio Manager

Dan Weinberg is a Partner and Portfolio Manager at Zazove Associates with 14 years of capital markets experience. Prior to relaunching the arbitrage strategy, Dan served the firm by working with the CEO/CIO to manage the firm’s separately managed accounts and funds, meeting with clients to discuss strategy and performance, managing a team of credit analysts, chairing weekly Investment Committee meetings, and advising the Executive Committee on firm priorities. 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. Dan graduated from Dartmouth College in 2005 with a Bachelor of Arts in Economics and Psychology.

*Executive Committee Member

Elaine Cleary   |   Senior Client and Trade Operations Associate

Elaine Cleary is a Senior Client and Trade Operations Associate with 20 years of experience in trade settlements. In addition to trade settlements, she is also responsible for client reporting. Elaine received a Bachelor of Science degree in Business Administration from University of California, Berkeley. Prior to joining Zazove in 1999, Elaine was with Bank of America as an accountant.

Eric Wills, CFA   |   Research Analyst

Eric Wills, CFA is an analyst with 12 years of investment experience. He is responsible for the analysis and recommendation of convertible bonds in the technology and consumer sectors. Prior to joining Zazove in 2018, Eric spent 11 years at Calamos Investments performing equity and credit research, most recently as a Senior Research Analyst. Eric earned a bachelor’s degree in finance at Northern Illinois University.

Gene T. Pretti   |   Chief Executive Officer and 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

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.

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.

Greg Shorin, JD, CFA   |   Partner, Portfolio Manager and Director of Trade Operations

Greg is a Partner and has served as Portfolio Manager of our Global Convertible Strategy since 1999. He is a member of the firm’s Investment Committee and works closely with the CEO/CIO to support all of the firm’s convertible strategies. 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. Greg earned his Juris Doctor degree from the Georgetown University Law Center and his Bachelor of Arts in Economics and Political Science from State University of New York at Binghamton.

*Executive Committee Member

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 Bachelor of Science degree in Health Science from the California State University at Chico in 2009.

Jeremy King, CPA   |   Director, Fund Administration & Performance Measurement / Controller

Jeremy King is the firm’s Director of Fund Administration & Performance Measurement as well as Controller with over 20 years of investment industry experience. As director, Jeremy manages the firm’s in-house fund administration, oversees separately managed account reporting deliverables and is responsible for portfolio performance measurement while maintaining the firm’s composites. As controller, he is responsible for financial reporting, tax compliance, day-to-day accounting operations and various human resource functions.  Prior to joining the firm, Jeremy was a Senior Accountant at Edelheit & Edelheit, Ltd. where he provided public accounting services to small and mid-sized businesses in a variety of industries. He is a Certified Public Accountant and a member of the Illinois CPA Society. Jeremy received his BS in Accounting from North Park University.

John Idone   |   Head Trader

John Idone is the Head Trader at Zazove Associates with over 30 years of convertible bond investment and trading experience. He is responsible for the execution and monitoring of firmwide investments. He is also responsible for developing and maintaining Zazove’s senior level relationships with the sell side firms that Zazove trades with on a daily basis. Prior to joining Zazove, John has held investment decision and trading positions at both TQA Investors, a hedge fund and on the sell-side at Credit Suisse. John has a Bachelor of Arts from State University of New York and a Master of Business Administration from Pace University.

Joseph McCready   |   Research Analyst

Joseph joined Zazove in 2018. At the firm, he is responsible for research coverage of the software and services industries. Before joining the firm, he worked as an equity analyst at Allianz RCM and Wasatch Advisors. Prior to that experience, he worked in investment research and investment banking at Goldman Sachs and Morgan Stanley. He earned a Master of Business Administration degree from the University of Chicago with concentrations in Finance and Accounting as well as a Bachelor of Arts in Finance from Boston College, both with highest honors.

Kenny Jones   |   Client and Trade Operations Associate

Kenny Jones has over 25 years of experience working in the financial services industry and has served in numerous capacities, including trade processing and accounting and equity and mutual fund trading. Currently, as a Client and Trade Operations associate, his primary responsibilities include client reporting, trade processing, and settlement. Prior to Zazove he worked for JP Morgan. He also attended The Ohio State University.

Kim Ford   |   Executive Assistant to the CEO

Kim joined Zazove in 2020 as Executive Assistant with over 30 years’ experience.  She is responsible for providing executive support to the firm’s CEO, Gene Pretti.  Prior to joining Zazove, Kim was Executive Assistant at a Bay Area start-up DayTwo.  Before that she was Executive Assistant to the President, CEO and Chairman of the Board at Pandora Media in Oakland, CA as well as Executive Assistant at Madrona Venture Group and Microsoft in Seattle, WA.

Liam Nolan   |   Assistant Portfolio Manager

Liam Nolan is an Assistant Portfolio Manager at Zazove Associates and has over 14 years of global convertible market experience. As a member of the Portfolio Management and Trading team, he works with Gene Pretti and Dan Weinberg managing client portfolios of the Investment Grade and Blend strategies and with John Idone and Dale Hogan regarding trading for the accounts. Additionally, Liam conducts research, is the backup equity and FX trader, works with the Trade Operations team on corporate actions, and is actively involved in client service and account compliance and implementation.

Prior to joining Zazove in 2015, Liam spent five years at Jefferies in Global Equity Capital Markets most recently as a Senior Vice President. Prior to Jefferies, Liam was in the Equity-Linked Capital Markets group at Bank of America and was a Financial Analyst to the CFO at NYMAGIC. Liam earned his Bachelor of Arts in Economics from St. Lawrence University in 2006.

Matthew Halko   |   Software Engineer

Matthew Halko is a Software Engineer at Zazove with eight years of experience building real-time financial applications. He is responsible for the development of proprietary tools for security and portfolio analysis, risk management, trade allocation and client reporting. Working closely with Nick Flees, Bryan Price and the portfolio management team, he contributes to the development of Zazove’s proprietary software architecture.

Before joining Zazove, Matthew worked as a proprietary trader in Chicago executing relative-value fixed income trades, conducting quantitative research and deploying automated trading models. He has a Bachelor of Science in Finance from the University of Illinois at Chicago.

Nicholas Flees   |   Director, Quantitative Modeling

Nicholas Flees is Zazove’s Director of Quantitative Modeling. He manages the firm’s quantitative analysis initiatives and is the firm’s lead software architect. He is responsible for articulating and managing the firm’s technological strategy. This work includes the design and development of proprietary systems and tools for security analysis, portfolio analysis, risk management, and reporting.

Nick has more than 14 years of experience working in finance and technology. Prior to joining Zazove in 2018, he designed, wrote, and managed proprietary trading, derivative-modeling, and data-analysis applications for market makers in exchange-traded interest-rate options at the Chicago Board of Trade. He was also a member of the Computer Science faculty at the University of Chicago, where he taught master’s-level courses on Python programming and databases. He holds a Master of Science degree in Computer Science from the University of Chicago and a Bachelor of Science degree in Mathematics from the University of Michigan. Nick is a candidate in the CFA program.

Richard Walman   |   Client and Trade Operations Associate

Rich received a Bachelor of Arts in Geography with a specialization in International Business and World Trade from the University at Buffalo in 1998. He is responsible for trade settlement as well as assisting the trading desk with trade processing and other day to day operations. He has been with Zazove since 2004.

Song Wang   |   Research Analyst

With 7 years of investing experience, Song Wang is a research analyst covering U.S. and international energy, industrials, and metals & mining companies. His responsibilities include sourcing and analyzing investment ideas, creating financial models, and interviewing management teams. After earning his Bachelor of Business Administration from Emory University in 2012, Song spent 3 years as an oil and gas-focused investment banking analyst at Deutsche Bank’s Houston office. He subsequently transitioned into an Equity Research Associate Analyst role at T. Rowe Price, where he covered Industrials. He is a CFA Level III candidate.

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.

Steven Kleiman, JD   |   Executive Partner and 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