Guided by experience

As you seek to optimize your allocation to alternative investments, you’ll benefit from the specialized, hands-on experience of our leadership team and senior advisors.

Leadership

Ted Brombach
Co-CEO

John “Yogi” Spence
Co-CEO

Kimberly Ann Flynn
Managing Director, Alternative Investments

John McGarrity
Managing Director
General Counsel

Jennifer Pruett
Director, Intermediary Sales

Carolyn Burke
Finance and Operations

Aaron Wismar
Advisor Consultant

Senior advisors

David Adler
Senior Advisor to XA Investments on Economics

David Adler
Senior Advisor to XA Investments on Economics

David Adler is a Senior Advisor to XA Investments on Economics. As an economic analyst and author, he focuses on illiquidity and behavioral economics. David is the author of the monograph, “The New Economics of Liquidity and Financial Frictions,” published by the CFA Institute Research Foundation. Previously, he wrote the liquidity and asset-pricing literature review for the CFA Institute Research Foundation and was co-investigator of a research study of tax-aware practices among investment professionals. David is also the author of “Snap Judgment” (FT Press), which is about behavioral economics, and he is the co-editor of the anthology, “Understanding American Economic Decline” (Cambridge University Press).

David is a producer of the PBS NOVA documentary, “Mind Over Money,” which is about behavioral economics, as well as the documentary “America’s Crisis in Healthcare and Retirement,” which was also shown on PBS. He also participated in related educational and outreach efforts.

He is the moderator of the Bloomberg LiveINSIGHTs conference series and author of related white papers. David has an MA and BA in Economics from Columbia where he received a graduate scholarship, graduated summa cum laude and was awarded Phi Beta Kappa in his junior year as one of the 10 highest-ranked undergraduates and highest-ranked economics major. David also studied graduate economics at New College, Oxford, on a scholarship sponsored by Columbia. He attended the Behavioral Economics Summer Institute (“behavioral summer camp”) in Trento, Italy. David lives in New York.

Robert “Kuppy” Kuppenheimer
Senior Advisor to XA Investments on CEF Sales and Marketing

Robert “Kuppy” Kuppenheimer
Senior Advisor to XA Investments on CEF Sales and Marketing

Bob “Kuppy” Kuppenheimer is a Senior Advisor to XA Investments on CEF Sales and Marketing. He is an independent consultant, serving asset managers who are developing products for distribution into the retail channel. He established his consulting practice in 2016, following a 40-year career at Nuveen Investments with various positions in sales and marketing. As Managing Director of Distribution Development for Nuveen Investments, Bob was responsible for the sales of closed-end funds nationwide and worked with the syndicate desks of national and regional firms in that capacity. Bob also worked on special projects for Nuveen in the Managed Accounts area and was a member of the Management Committee for John Nuveen & Company. Bob received a BBA in Finance from Nichols College in Dudley, Massachusetts.

Bob has served as a longtime member of the board of trustees of Nichols College. Founded in 1815, Nichols College serves students interested primarily in a comprehensive business education that is supported by a strong liberal arts curriculum. Bob is an active member of the Nichols community and engaged in several projects and events he hosts throughout the year. Bob has established a scholarship program in his name, the Robert B. Kuppenheimer Scholarship, which is a full scholarship supporting eight worthy students who reside west of the Mississippi River. In 1998, a residence hall on campus, Kuppenheimer Hall, was dedicated to him. Kuppenheimer Hall was built in 1970 and completely renovated in 2013.

Paul C. Williams
Senior Advisor to XA Investments on Product Development

Paul C. Williams
Senior Advisor to XA Investments on Product Development

Paul Williams is a Senior Advisor to XA Investments on Product Development. He serves as a consultant, providing independent advice to asset managers and investment product distributors focused on the individual investor market. Paul established his advisory practice in 2016 following a distinguished career at Nuveen Investments, first as a municipal finance investment banker and then as a Managing Director, Head of New Product Development for closed-end funds. At various intervals during his tenure at Nuveen, he managed the firm’s Public Finance and Municipal Credit Research departments, and he served on the Management Committee.

Paul played a key role over 25 years, building and diversifying Nuveen’s complex of over 90 exchange-listed closed-end funds. Beginning with the Premium Income Municipal Fund, the industry’s first leveraged municipal fund, in 1988, and concluding with launch of the High Income Target Term Fund in July 2015, he helped Nuveen become the industry leader. His contributions ranged from new product design and development to enlisting underwriter participation, wholesaler training, road show presentations, collaborating with in-house portfolio teams and initiating new joint ventures with unaffiliated asset managers to diversify Nuveen’s product offerings.

Recognized as an innovator, problem solver and thought leader, Paul is credited with several major product design innovations and first-time offerings in the closed-end fund market and the municipal market. He has published articles in industry journals and conducted numerous conference and seminar presentations regarding ’40 Act investment product design and new municipal financing techniques.

Paul received his BA from the University of Pennsylvania Wharton School and, midcareer, completed the Advanced Management Program at the Harvard Business School. For more than 20 years, he has served Penn, his alma mater, in multiple board and leadership roles.

Hank Hakewill
Senior Advisor to XA Investments on Marketing and Communications

Hank Hakewill
Senior Advisor to XA Investments on Marketing and Communications

Hank Hakewill is a Senior Advisor to XA Investments on Marketing and Communications. He has over 40 years of business experience, including 25-plus years of investment management marketing experience. Hank is currently Managing Partner of Hakewill & Associates, a marketing consulting firm dedicated to helping investment firms develop and execute actionable marketing strategies and tactics.

Prior to starting his own firm, Hank was a Managing Director and Chief Marketing Officer for NexTier Consulting Solutions, a consulting firm devoted to helping investment firms access the institutional marketplace. Before joining NexTier, he served as the Director of North American Marketing for Investment Property Databank (IPD), a leading performance and risk analytics provider for the commercial real estate industry and a subsidiary of MSCI. Previous to IPD, Hank led marketing and communications for EnnisKnupp, an institutional investment consulting firm based in Chicago.

Prior to joining EnnisKnupp, Hank had his own consulting firm, serving investment management clients that included William Blair and Lazard Asset Management. Before starting his own consulting firm, he was the Senior Managing Director, Marketing and Communications for Ziegler, a Milwaukee-based financial services boutique providing investment banking, retail brokerage and asset management services. Before joining Ziegler, Hank held senior marketing roles at Allstate, Northern Trust, Stein Roe & Farnham and Leo Burnett Company.

Hank earned an AB degree in Psychology from Dartmouth College and an MBA degree from the Amos Tuck School of Business at Dartmouth.

Paul Mottola
Senior Advisor to XA Investments on Sales and Syndication

Paul Mottola
Senior Advisor to XA Investments on Sales and Syndication

Paul Mottola is a Senior Advisor to XA Investments on Sales and Syndication. He is an independent consultant, providing a variety of services to asset managers, broker-dealers and wealth management firms. Paul established his consulting practice in 2017, following a distinguished 25-year career at Merrill Lynch, Barclays Wealth and, most recently, Stifel, after the sale of the Barclays business. As Managing Director, Paul held a variety of senior leadership roles within wealth management where he managed a variety of businesses, including the equity and debt syndicate and equity and fixed income trading. His responsibilities included closed-end fund origination, partnering with asset managers on the development and launch of new funds and related sales and marketing efforts. During his tenure, Paul also served on a variety of committees, including the New Product Review Committee, the Investment Management Committee, the Reputation Risk Committee and the Operational Risk Committee.

Paul is active in youth sports and has coached both baseball and basketball. He was also the treasurer for his local little league program. In addition, he is an approved FINRA dispute resolution arbitrator and has served on the SIFMA Fixed Income Committee. Paul received his BA from Providence College and his MBA from Monmouth University.