Summary
Overview
Work History
Education
Skills
Affiliations
Timeline
Generic

Eric LeGoff

Summit,NJ

Summary

With over 37 years of experience in the financial services/technology sectors as an entrepreneur and C-suite executive, a solid record of accomplishment in starting and growing companies, fund raising, organizational management, expense management, Board management and participation, and leading corporate liquidity events. Seeking an executive management position in a growing firm with a strong culture and a social conscience where my experience and skills can be leveraged.

Overview

37
37
years of professional experience

Work History

Co-Founder, President. COO and Director

Evermore Global Advisors, LLC
Summit, NJ
08.2009 - 12.2023

Evermore Global Advisors, LLC (the "Adviser") was an SEC-registered investment adviser to Evermore Funds Trust and its Evermore Global Value Fund series (the "Trust"; an SEC-registered investment company), institutional separate accounts and limited partnership funds. At its height, Evermore managed more than $1.3 billion in assets.

  • Served as President, COO and a Director of the Adviser and CEO and a Trustee of the Trust
  • Raised more than $13 million from individual investors to establish and fund the operations of the Adviser and Trust
  • Prepared quarterly and annual operating budgets for firm management and Board of Directors
  • Prepared detailed quarterly Board of Directors presentations
  • Managed the compliance programs for the Adviser and Trust
  • Evaluated and implemented trade order management, pre-trade compliance; portfolio management, employee trade pre-clearance, and other software systems
  • Prepared quarterly portfolio letters to the Trust's shareholders and quarterly firm update letters to the Adviser's investors
  • Prepared quarterly presentations and detailed compliance-related memoranda to the Adviser's Board of Directors and Trust's Board of Trustees

Founder and CEO

Hawthorne Associates LLC
Summit, NJ
01.2007 - 06.2009

Hawthorne Associates LLC was a consulting firm that worked closely with a financial technology private equity firm to introduce and evaluate potential early- and late-stage investments.

  • Hired a former enterprise software entrepreneur to help source and perform due diligence on a variety of early stage fintech companies
  • Performed due diligence and made an investment in an established foreign currency trading firm

Co-Founder and COO

Liquidnet Holdings, Inc.
New York, NY
09.1999 - 10.2006

LIquidnet Holdings, Inc., and its broker-dealer subsidiaries across the globe, operated the Liquidnet trading platform, an institutional large-block equities trading platform

  • Served as chief operating officer and chief financial officer (from inception through mid-2005) of the parent company, CEO of several of the broker-dealer operating subsidiaries, and a director on the firm's board of directors
  • Established regulated broker-dealer subsidiaries in United States, Europe, Canada, Hong Kong and Japan - all CEOs of these subsidiaries reported into me
  • Led all fund raising efforts, including $29.2 million to establish the firm and its broker-dealer operating subsidiaries, and a $250 million recapitalization in 2005 that valued the firm at $1.8 billion
  • Built and managed the brokerage operations, legal, compliance, financial and human resources departments in the U.S.
  • Responsible for global expense management, which resulted in a consolidated Adjusted EBITDA margin of 66% in my last year at the firm
  • Prepared all monthly, quarterly and annual budgets and presented them for approval to the firm's Board of Directors
  • Prepared all quarterly presentations to the firm's Board of Directors

Co-Founder, CEO and Director

VIE Systems, Inc.
Lyndhurst, NJ
05.1997 - 04.1999

With the backing of Michael F. Price (a renowned mutual fund investor) and Seth Merrin (former CEO of Merrin Financial Inc.), I acquired certain intellectual property and business assets from New Paradigm Inc., a publicly traded middleware company, and founded VIE Systems, Inc.

  • Raised $8 million to establish and manage the operations of the firm
  • Led the efforts to become a premier partner of the S.W.I.F.T. organization and implement the firm's S.W.I.F.T. solution to U.S. customers
  • Managed the partnership with IBM Corporation to offer the firm's application integration product, Copernicus, with IBM's messaging products
  • Oversaw the firm's application for a patent for Copernicus, which was received
  • Led the sale of the firm to publicly traded New Era of Network's Inc. in April 1999

Co-Founder and CEO

Compliance Solutions, Inc.
Short Hills, NJ
09.1988 - 04.1997

With the backing of Michael F. Price (legendary portfolio manager of the Mutual Series funds), Compliance Solutions, Inc. created the investment management industry's first pre-trade portfolio compliance and employee trade pre-clearance software systems.

  • Entered into a joint venture agreement with Merrin Financial Inc. ("MFI"), which designed and developed the investment management industry's first trade order management system ("OMS"), to develop a pre-trade compliance module that would sit on top of the OMS
  • Designed and led the development of the compliance systems at MFI
  • Led all sales efforts of the compliance systems to MFI's existing and prospective customers
  • Worked closely with MFI's largest customer to design and develop the money market mutual fund industry's first money market trading and pre-trade compliance system
  • Sold the firm's revenue participation interest in the pre-trade portfolio compliance system to MFI in 1996 and the firm's employee trade pre-clearance software system to Compliance Science Inc. in 1997

CCO, Research Analyst and SVP of Operations

Heine Securities Corp.
Short Hills, NJ
10.1986 - 04.1997

Heine Securities Corp. ("Heine") was an SEC-registered investment adviser owned and managed by legendary value investor Michael F. Price. Heine was the investment adviser to the Mutual Series funds for which Mr. Price was Portfolio Manager.

  • Served as Chief Compliance Officer from 1986 through 1988, as a research analyst from 1988 through 1997, and as head of operations from 1987 through 1997
  • In the role of Chief Compliance Officer, I was responsible for managing the firm's compliance programs, preparing compliance memoranda for the funds' quarterly Board of Directors meetings, and monitoring the funds' portfolio compliance restrictions and employee trades
  • In the role of Research Analyst, responsible for analyzing potential investments, recommending investments to the funds' portfolio manager, and recommending and monitoring many of the funds' merger/arbitrage positions
  • In the role of Head of Operations, managed the implementation of all trading desk software systems and technology, compliance software systems, and mutual fund shareholder services hardware and systems
  • Led the firm's transition team after Heine was sold to Franklin Resources, Inc. in 1996

Education

BBA - Finance

Georgetown University
Washington, DC

Skills

  • Business Formation
  • Operations Management
  • Board Reporting
  • Geographic Expansion
  • Securities Regulation
  • Budget Preparation
  • Expense Management
  • Policy and Procedure Implementation
  • Talent Recruitment
  • Human Resources Management

Affiliations

In addition to my roles on corporate boards, I have served on the boards/committees of the Summit Area YMCA, Summit Educational Foundation and The Summit Foundation. I have also been a mentor and partner in the Student/Partner Alliance and an active supporter of KIPP NYC and KIPP NJ. I enjoy tennis, paddle tennis, pickleball, golf, and travel.

Timeline

Co-Founder, President. COO and Director

Evermore Global Advisors, LLC
08.2009 - 12.2023

Founder and CEO

Hawthorne Associates LLC
01.2007 - 06.2009

Co-Founder and COO

Liquidnet Holdings, Inc.
09.1999 - 10.2006

Co-Founder, CEO and Director

VIE Systems, Inc.
05.1997 - 04.1999

Co-Founder and CEO

Compliance Solutions, Inc.
09.1988 - 04.1997

CCO, Research Analyst and SVP of Operations

Heine Securities Corp.
10.1986 - 04.1997

BBA - Finance

Georgetown University
Eric LeGoff