Expertise
As a Registered Investment Advisor, Commodity Trading Advisor and Chartered Financial Analyst (CFA), expertise extends to:
Evaluation of complex investment strategies.
Trade Cost Analysis and Best Execution.
Portfolio Liquidation resulting in damages.
Volatility Products and Strategies.
Options and futures instruments and related
strategies
Quantitative modeling of damages
Financial Planning
Portfolio and strategy risk analysis and risk metrics
Fiduciary Duties of RIA
Industry trade execution standards and practices
Modeling of Account Margins (Reg T and
Customer Portfolio Magin)
Also:
Asset Allocation
Alternative Investments
Commodities
Due Diligence
Equity Index and Variable Annuities
Leveraged Exchange Traded Funds (ETF)
Financial Planning
Futures
Hedge Funds
Hedging
Modern Portfolio theory
Statistical Analysis
Stock Index Funds
Stock and Index Options (Covered Call, Naked shorts)
University Professor
(For search purposes, not intended to be a comprehensive list)
Expertise
As a Registered Investment Advisor, Commodity Trading Advisor and Chartered Financial Analyst (CFA), expertise extends to:
Evaluation of complex investment strategies.
Trade Cost Analysis and Best Execution.
Portfolio Liquidation resulting in damages.
Volatility Products and Strategies.
Options and futures instruments and related
strategies
Quantitative modeling of damages
Financial Planning
Portfolio and strategy risk analysis and risk metrics
Fiduciary Duties of RIA
Industry trade execution standards and practices
Modeling of Account Margins (Reg T and
Customer Portfolio Magin)
Also:
Asset Allocation
Alternative Investments
Commodities
Due Diligence
Equity Index and Variable Annuities
Leveraged Exchange Traded Funds (ETF)
Financial Planning
Futures
Hedge Funds
Hedging
Modern Portfolio theory
Statistical Analysis
Stock Index Funds
Stock and Index Options (Covered Call, Naked shorts)
University Professor
(For search purposes, not intended to be a comprehensive list)
Mr. Brol is an experienced senior investment professional with over thirty eight years of investment management and consulting experience. Mr. Brol began his investment career at the Northern Trust Company in Chicago, Illinois as a portfolio manager and Vice President in the trust investment department. His responsibilities included consulting to clients regarding their asset allocation, portfolio restructuring, and hedging / risk management. He managed and traded equity portfolios valued at over 3 billion dollars using quantitative methods. Mr. Brols clients included corporate pension plans, foundations, endowments, high net worth families and individuals.
For ten years, Mr. Brol worked for the Plexus Group consulting to Institutional Investment Management firms and Mutual Fund companies on investment process improvement and Best Execution. Mr. Brols consulting practice focused on enhancing investment performance by improving the process by which investment ideas are converted to portfolio holdings. Prior to joining the Plexus Group, Mr. Brol had his own risk management and market neutral management firm.
Mr. Brol is an Adjunct Professor of Finance at the University of Alabama Huntsville where he teaches upper level and graduate level finance courses. Courses taught include Investments, Financial Planning, Principles of Finance, Financial Institutions and Markets, Intermediate Corporate Finance, Advanced Corporate Finance, and Financial Decisions under Uncertainty (graduate level course).
Mr. Brol is a Chartered Financial Analyst (CFA) which is recognized worldwide as one of the most prestigious and respected designations for investment professionals. Mr. Brol has a Bachelors of Science in Finance and Economics from Illinois State University and a Masters of Business in Finance from DePaul University in Chicago, Illinois. In 1992, Mr. Brol was awarded the Outstanding Young Alumni Award at Illinois State University.
SER Voting Member
