Mark Rosenthal

Experience

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  Eisner LLP

  Sept 1988 - Jun 2000

  Senior Manager

  Accounting and Consulting Firm • Supervised numerous concurrent audit and tax engagements• Had both commercial and financial service clients• Liaised with the Human Resources Department in connection with on-campus recruiting• Represented staff concerns to Partners

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  Crest Advisors LLC

  Jun 2000 - Jun 2004

  Chief Financial Officer/Chief Operating Officer

  Private Equity Firm - Specializing in the TMT Space• Brought in house accounting functions from outside service providers• Responsible for reporting performance results, coordinating fundraising and assisting in all firm marketing• Successfully facilitated merger with Sanders Morris Harris Group.

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  Pike Place Capital Management LLC

  Sept 2004 - Nov 2010

  Chief Financial Officer/Chief Operating Officer/Chief Compliance Officer

  Registered Investment Advisor - Value Oriented Event Driven Funds• Established and implemented accounting and operational infrastructure, managed the development of internal controls and human resource programs• Initiated firm’s registration with the SEC• Created process for Fund NAV production and review, including performance reporting on a monthly basis• Coordinated the year-end audit process and provided tax allocation worksheets for preparation of K-1s and Partnership Tax returns• Managed relationships with all 3rd party service providers• Created firm’s due diligence questionnaire and marketing materials Show less

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  Kingstown Capital Management LP

  Nov 2010 - Jul 2016

  Chief Financial Officer

  Registered Investment Advisor - Value Oriented Event Driven Funds• Reported directly to Co-Chief Investment Officers• Responsible for all finance, accounting, tax, portfolio valuation, financial reporting, investor reporting and office operations of a Long/Short fund manager whose AUM grew from $350m to $1.4B• Managed all external audit, tax and servicer relationships for the firm• Reviewed the monthly books and records for a master-feeder, and 2 single investor funds • Managed the fund administrator relationship as well as the activities of the portfolio manager’s multiple prime brokers• Oversaw portfolio valuations and was a member of the valuation committee• Coordinated firm’s move to the current location• Supervised preparation of fund financial statements, fund audits and all tax matters for 7 different entities• Lead operational due diligence meetings with potential and existing investors• Negotiated terms of all ISDA agreements with counterparties• Maintained a comprehensive compliance program for the investment advisor• Ensured proper filings are made with SEC (13D, 13F, 13G, 13H, Form PF, etc.)• Coordinated the launch of 2 single investor funds one month after my arrival at the firm Show less

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  CWF Managers LLC

  Dec 2016 - Mar 2019

  Chief Financial Officer/Chief Operating Officer

  Early Stage Quant Fund • Spearheaded launch of Cayman Based Master-Feeder Funds • Established relationships with third party service providers: OEM system, prime broker, custodian and auditor• Worked directly with the Founder to customize offering documents and subscription agreements• Responsible for all monthly, quarterly and yearly investor reporting• Worked with the administrator to create a mutual fund vehicle • Completed the registration process with the SEC as an investment adviser in anticipation of launching the mutual fund• Implemented robust policies and procedures and code of ethics Show less

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  Source Financial Advisors

  Oct 2019 - Dec 2022

  Chief Compliance Officer and Director, Administration and Operations
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  683 Capital Management LLC

  Dec 2022 - now

  Chief Financial Officer