| Principals |
| Founding Partners & Advisory Board |
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Efficient's Principals
Ernest L. Jaffarian
Mr. Jaffarian is the Founder, President and Chief Executive Officer of Efficient Capital Management, LLC (Efficient), and chairs the Executive Management Committee. In 1986 he joined Chicago Research & Trading Group (CRT) as a member of the proprietary trading group on the floor of the Chicago Board Options Exchange (CBOE) and rose to position of Senior Vice President for OTC Treasury Options. Immediately prior to founding Efficient, Mr. Jaffarian was responsible for the managed futures department of Hull Equity Management, LLC and for the allocation of Hull Trading Company, LLC’s proprietary capital among trading advisors. Mr. Jaffarian holds a Series 3 license and is a veteran of over 20 years within the alternative investment industry in the areas of trading, portfolio construction, and risk management.
Donna M. Allen
Ms. Allen is the Chief Compliance Officer of Efficient Capital Management, LLC, and a member of the Executive Management Committee. Before joining Efficient, she was the Director of Compliance and Investor Relations for Norshield Investment Partners (USA) and a Director at Guggenheim Partners. Ms. Allen holds a Series 3 license and has more than 21 years of industry experience.
W. Judson Aulie
Mr. Aulie currently serves as the Chief Risk Officer of Efficient Capital Management, LLC, and is a member of the Executive Management Committee. He was previously the Chief Investment Officer at Efficient. Prior to his time with Efficient, Mr. Aulie was with Chicago Research & Trading Group (CRT), where he had 7 years of floor trading experience. At CRT he managed a team in equity arbitrage and was a market maker for hedging activities. Mr. Aulie has been a member of both the Chicago Board of Trade (CBOT) and the Chicago Mercantile Exchange (CME). He began his career as an auditor for the CME. Mr. Aulie is a Certified Public Accountant, holds a Series 3 license, and has more than 21 years of industry experience.
Ronald L. Davis
Mr. Davis is the Chief Operations Officer for Efficient Capital Management, LLC, and a member of the Executive Management Committee. He has more than 14 years of experience with Cargill Investor Service, Inc. in the Fund Services group, and was a Futures Administration Manager for Dean Witter Reynolds. Mr. Davis is a Certified Public Accountant with a Masters in Business Administration, holds a Series 3 license, and has more than 27 years of industry experience.
James M. Field
Mr. Field is the Chief Financial Officer of Efficient Capital Management, LLC, and a member of the Executive Management Committee. He is the former top financial officer of some of the financial industry’s well known companies including Lind-Waldock, Mitsubishi Baldwin, and Sheridan Investments. Mr. Field is a Certified Public Accountant and worked in public accounting for several years with Coopers & Lybrand. He has more than 27 years of industry experience.
Keli Han, Ph.D.
Dr. Han is the Director of Research for Efficient Capital Management, LLC, and a member of the Executive Management Committee. He has previously worked on quantitative financial analysis and the development of trading systems and testing platforms for Sandpiper Trading, Inc., and for Efficient Capital Overlay, LLC. He was formerly responsible for research and trading at PrudenTrade, LLC. Dr. Han also worked as an Architect and Systems Engineer at Lucent Technology, Inc., participating in the design of the UMTS core network system. In conjunction with this, he was also a Lucent representative to the European Telecommunications Standards Institute (ETSI) drafting UMTS standards. Dr. Han holds a Series 3 license and has more than 12 years of industry experience.
E. Grant Jaffarian
Mr. Jaffarian is the Chief Investment Officer at Efficient Capital Management, LLC, Co-Director of Investment and Allocation, and a member of the Executive Management Committee. He supervises allocation decisions and is actively involved in the research, manager search, and due diligence processes. Prior to joining Efficient in April 2004, Mr. Jaffarian was the founder and managing partner of Petra Intraday Trading Systems, an emerging high frequency commodity trading advisor. His career in the alternative investments field began in 2001 as a trader and researcher at Analytic Investment Management NV of Mechelen, Belgium. Mr. Jaffarian holds a Series 3 license and has more than 7 years of industry experience.
Michael R. Marcey
Mr. Marcey is the Managing Director of Strategic Development for Efficient Capital Management, LLC, and a member of the Executive Management Committee. He is involved in coordination of staff and global business development specialists, and in leadership development and mentoring. Mr. Marcey holds a Series 3 license and has 25 years of experience in not-for-profit leadership development and strategic planning.
Dave A. Martin
Mr. Martin is the Director of Due Diligence at Efficient Capital Management, LLC, Co-Director of Investment and Allocation, and a member of the Executive Management Committee. Prior to joining Efficient, he acted as Supervisor of a Foster Placement Team for the Illinois Department of Children and Family Services. He has also served in a number of capacities at Chicago Research and Trading Group, including trading options in Currencies, Cash Bonds, and OEX. Mr. Martin has more than 11 years of industry experience.
Chad R. Martinson
Mr. Martinson is the Director of Product Structuring at Efficient Capital Management, LLC, and a member of the Executive Management Committee. After eight years of IT consulting for several fortune 500 companies, he joined Efficient where he served as the Chief Technology Officer for more than 3 years. Mr. Martinson holds a Series 3 license and is a Chartered Alternative Investment Analyst Designee (CAIASM) with more than 6 years of industry experience.
Thomas J. Rose
Mr. Rose is Director of Enterprise Risk Management at Efficient Capital Management, LLC, and a member of the Executive Management Committee. He has previously served Efficient as Interim Director of IT, and Senior Operations. Prior to ECM, Mr. Rose was with FutureSource, a premier commodity ticker and news data provider. He was a principal, serving as CFO and Treasurer, at Commerz Futures Corporation, a U.S. Broker/Dealer and FCM subsidiary of Commerzbank AG. Mr. Rose was also an Internal Auditor for ConAgra, involved with their cash commodity operations and Geldermann, Inc (at one time the fifth largest commodity clearing broker). His career in commodities began as a regulatory and compliance auditor with Chicago Board of Trade. Mr. Rose has also worked on the IT side with InterPro Consulting, and Computron (currently AXS-One) installing Financial Management Information Systems. He had previously worked in Public Accounting and Systems with Deloitte and Arthur Andersen. Mr. Rose is a Certified Public Accountant and has more than 22 years of industry experience.
Jonathan P. Litfin
Mr. Litfin is the Director of IT Operations at Efficient Capital Management, LLC, and a member of the IT Steering Committee. He has a Masters in computer science from Northern Illinois University where his emphasis was software engineering. Mr. Litfin has been developing software for over ten years, most recently for Avanade, a joint venture between Accenture and Microsoft to provide global IT consultancy services dedicated to the Microsoft platform. He joined Efficient as a software engineer in 2006.
David A. Martin
Mr. Martin is the Director of IT Software Development at Efficient Capital Management, LLC, and a member of the Executive Management Committee. After 4 years of developing web applications for Big Idea Productions, Inc., he joined Efficient where he served as a software engineer for more than 4 years. Mr. Martin is a Microsoft Certified Solutions Developer (MCSD).
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