SAMUEL LEWIS

Chief Investment Officer, President of member firm for over fifteen years. Accomplished CEO, CIO with demonstrated ability to deliver sales-trading results. Visionary Sales Trading and Operations Executive with extensive experience managing all levels of multiple projects including budgeting and administration, sales and trading, private placement and banking, as President CIO, LPE/Peraza Capital, MBE, a member firm for 16 years. Skilled in talent recruiting, asset valuation and protection, financial management and client relations. Financial services professional successful at advising trillion-dollar portfolios, corporations, small businesses and QIB clients. Areas of expertise include asset liability risk, asset allocation, investment strategy optimization and risk management. Financial Professional specializing in corporate development and financial due diligence, and capital structure valuations. Successful at facilitating ongoing professional development and creating superior investment processes, while bringing expertise in listed equity, fixed income and options as well as extensive experience with regulatory inquiries and examinations, professional trading practices and back-office functions. Analytical operating officer dedicated to developing policies and procedures applicable to modern-day trading, aligning reality with regulation. Skilled financial professional with over thirty years of financial services industry and over fifteen years of practical trading and management experience as President CIO of member firm. Expertly creates customized or optimized financial strategies to meet portfolio and client policy. Series 7, 63, 24, 55, 27. CORE ACCOMPLISHMENTS Led the development of more than twenty new financial reporting methods to measure risk adjusted productivity and efficiency. Increased cost-effectiveness by 200% through compliance enforcement and implementation of quality control system. Increased efficiency of identifying discrepancies in regulatory investigations by 100% by designing a more accurate and simplified compliance audit system. Grew gross riskless production by 500% in. Increased cost-effectiveness by 200% through compliance enforcement and implementation of a rigorous compliance control system. Booked over $30,000,000 in riskless gross through professional networking, and sales trading strategies. Created strategies to develop and expand existing customer sales, resulting in a 500% increase in annual sales. Helped grow firm revenue by 500% from $2mm to $10mm annually. In addition to riskless principal gross, booked $40mm net cap on risk allocation to individual and holding company entity accounts. Superior skill in expanding Return on Invested Capital vs Weighted Cost of Capital and free cash flow yield. PROFILE Led marketing efforts related to asset management and valuation, sales and trading and private placement services for the company to improve competitive positions, penetrate target markets, and deliver strong client experiences in service of revenue and growth objectives. Channels include national broker dealers, regional and independent broker dealers, insurance, RIAs and diverse financial institutions and intermediaries. I am at the forefront of expanding growth of a firm with a proven track record of solid performance by building strategic marketing capabilities to elevate and drive high awareness in the marketplace. Responsible for building the marketing structure and strategy for the firm with an opportunity to grow. Drives an advisory and sales effort to organically grow sales trading business by providing innovative thought leadership and executing on a progressive strategy for a sophisticated institutional client base. Maintains broad management responsibilities including a range of strategic marketing functions. References: Gifford Fong. Gifford Fong Associates https://www.gfong.net/ Key Responsibilities: Generate results and focus on increasing and retaining the firm's riskless flow. Develop materials to support client cultivation and development efforts. Develop and distribute investments category thought-leadership including capital markets perspectives, portfolio managers commentaries, and advisor practice management guidance. Retain and defend existing business Grow relationships with existing clients Develop optimal strategic partnerships with clients at the most senior decision maker by influencing and building close relationships at client firms Identify, develop, optimize and close new business strategies and opportunities Maintain in-depth knowledge of key clients Initiate and encourage broad and direct relationships across product /client service areas Collaborate and influence across lines of business at multiple levels, as well as be able to counsel partners with the ability to connect “dots” across various and sometimes competing/ambiguous challenges. Qualifications: 35+ years of trading and investment banking experience Superior equity and fixed income products, market and industry knowledge, and ability to demonstrate this understanding in the creation and execution of marketing strategies Superior functional knowledge of investment concepts with the ability to apply those concepts to the development of compelling product stories, content, and materials Marketing experience includes asset management industry knowledge with a deep understanding of institutional clients, investment industry dynamics, and marketplace trends Sustained track record of building, developing and growing client relationships Excellent writing skills to develop and execute product or educational topic papers as needed for multiple mediums Investment technology consulting since 1981 Exotic derivatives sales, trading and valuation since 1985 Leader in IG non-IG credit analysis and solutions Ongoing capital markets trading research Direct Access to Cutting edge academic and practitioner network Credit rating verification is available at the tranche level Pool level loss distribution is modeled by a skewed Gaussian distribution with a heavy tail to the right Distribution is characterized by three parameters: Average rating Variance of the rating Degree of default correlation Traditional mean–variance optimization with a quantitative framework for combining the best of science and judgment in selecting an asset allocation for long-horizon investors such as endowments. The novelty of the approach lies in its ability to balance the desire for long-term returns with the need to manage short-term risk and funding constraints—important goals that are often in conflict. To reap the benefits of long-term risk premia, investors must be able to withstand occasional short-term painful drawdowns. The unified approach can be used to examine how different combinations of asset classes, spending rates, and even alpha impact the policy portfolio over various planning horizons. The framework merges the science of portfolio optimization with a structure that informs sound judgment in determining an organization’s strategic asset allocation, risk budget, and spending policies. a simulation analysis-based tool generates data that enable a complex nonfrictionless environment to be assessed in a tractable manner that might not otherwise be readily achievable. Based on Grossman and Stiglitz’s 1976 seminal paper on price formation in an equity market. The dynamic process of price formation in a nonfrictionless market can generate returns exhibiting accentuated short-period volatility, kurtosis, and return autocorrelations. Exploring potential applications. These cutting edge analytics can be directed at the full range of balance sheet, and asset liability management (ALM) challenges in public finance, local and state ALM; building construction pipeline and net cap optimization; pension system default mitigation; financial institution passive liquidity and tactical held for sale portfolios and loan pipeline risk budgeting; Broker Dealer and FCM net cap and risk management, and inventory return risk optimization. The full spectrum of cash flow matching, immunizations, strategic sector selection optimization, up to active return maximization for fund management and hedge fund books. Regulatory and liquidity analytics are included. We can work back up the chain of strategic themes from the applications noted above for structured products and complex fixed income securities, equity or commodity derivative to basic ALM studies and tactical trading for any portfolio or balance sheet we engage in both high net worth and institutional ALM macros.