Back to search
Charles Porten
C.F.A., M.B.A. ·
Weston, Connecticut
Banking
Examining a portfolio for compatibility with an institutional or retail investor's stated risk profile and instructions, drawing upon extensive experience in discretionary and non-discretionary advisory accounts, brokerage accounts, ERISA accounts, hedge funds, exchange funds, mutual funds, and pers
Evaluating supervisory policies, procedures and documentation for compliance with NASD, SEC, and banking authority regulations
Analyzing securities and managing portfolios comprised of equities, fixed-income investments, structured products, ARS, options, and derivatives
Formulating asset-allocation strategies tailored to the individual risk profile and objectives of each investor; educating clients and lay people
Assessing the governance capabilities of candidates for mutual fund director appointments
Directing the investment, administrative and regulatory aspects of mutual funds, including the preparation of prospectuses and other SEC-required documents
Conducting due diligence of investment advisory firms in conjunction with mergers and acquisitions
Negotiating terms and conditions of acquisition transactions with management of targeted firms, as well as investment bankers
Unlock Full Profile
Use 1 credit to reveal Charles's full profile, including contact information, credentials, and complete work history. If they don't respond within 5 days, your credit is refunded.
Are you an expert witness?
Claim your profile to control how attorneys find you.
- Get found by attorneys through our AI-powered search
- Control your professional profile and credentials
- Receive case inquiries directly from attorneys
- Showcase your expertise, publications, and track record