BACKGROUND: Peter J. Johnson

“What I tell people about my experience is that I’ve lived many different scenarios you can think of and some that you can’t even imagine.”

Principal in DLK Investment Management, Solana Beach, CA

• An investment advisory firm for high net worth and small institutional investors.
• Offers an equity strategy that focuses on high-quality US companies that have a successful history of growing their revenues, earnings, and dividends.

Principal in Asymmetric Capital Management (ACM), Rancho Santa Fe, CA and Minneapolis, MN

• Offer strategies that deliver asymmetric risk/returns using very liquid asset classes that are negatvely correlated for greater diversification benefits.
• Deploy an active systematic rebalancing (ASR) methodology to monetize short-term volatility in a disciplined manner.
• An appropriate fit for an alternatives allocation at lower fees with minimal capacity constraints.
• A benchmark was launched for the core strategy, Risk Managed US Equity (EALTS), with S&P Dow Jones serving as the calculation agent

Principal in Cornerstone Investment Solutions, LLC, Solana Beach, CA

Intellectual Property for a volatility framework.

Former Board Member for Santa Fe Christian Schools, Solana Beach, from 2010-15. Served as Vice-Chair from 2011-15, Chair of Endowment Committee from 2005-13, and Chair of Finance Committee from 2010-13

Former Principal and Director of Client Service & Marketing for Investment Science Corporation (ISC) in San Diego, CA, which merged with Freeman Associates Investment Management in 2009 to form Freeman Investment Management, Co., (FIMCO), San Diego, CA, 2007-2010

• Helped launch ISC in 2007, a quantitative investment firm specializing in hedge fund strategies using equities and options, which merged with Freeman in 2009 with a subsequent wind down of the business in 2010 due to performance.

Nicholas-Applegate Capital Management (NACM), San Diego, CA, 1992-2006
Head of Institutional Client Service & Sales from 2001-2006

• Restructured distribution along channel segments establishing each as an individual profit center with commensurate leadership accountable for driving results.
• Tiered clients and defined client service deliverables to ensure the highest quality of service to strategic clients and more efficient high tech solutions for smaller accounts.
• Implemented a consultant strategy, which positioned and emphasized NACM’s new leadership, business goals, and working relationship with Allianz.
• Successfully implemented a marketing strategy, leveraging the firm’s distinguished small cap heritage, which helped raise assets to capacity for six different micro and small cap strategies.

Member of Executive Committee from 2001-2006

• Helped manage the strategic direction of the business after a successful sale of the firm to Allianz in January, 2001.
• Helped develop and execute a restructuring of the firm following the market correction in 2001.

Head of Institutional Sales from 1998-2001

• Built and led a distribution team which generated approximately $33 million in new revenues in 2000, significantly better than the annual goal of $25 million.
• Established and recruited resources for the firm’s entry into the Australian market.
• A member of the due diligence team leading to a sale of NACM to Allianz in late 2000.

Director of Client Service & Marketing from 1993-1997

• Initiated an internal compliance audit in 1993, conducted by Price Waterhouse, which led to the creation of a formal compliance department with oversight by an in-house general counsel.
• Created a marketing plan, which included national coverage of public funds and unions, and a five-region model for off-site locations, for corporate pension funds, foundations and endowments.
• Helped launch new mutual funds, including institutional shares, after a conversion of limited partnerships, and served as an officer for the Funds.
• Non-US distribution was primarily leveraged through intermediaries which helped establish a meaningful client base in the Netherlands.
• Named a partner at Nicholas-Applegate in 1995.
• Initiated firm wide quarterly distribution team meetings to help account for the firm’s marketing plan along with forging a culture of accountability and results.
• Participated in the acquisition and corresponding integration of Criterion, a fixed income firm in Houston, and Credit-Lyonnais Asia for specialized non-US equities of which both were successfully divested before NACM was sold to Allianz in 2001.
• Developed and executed the firm’s first client conference in 1995, and again in 1997, with over 50% participation from clients.

Vice President from 1992-93

• Sales responsibility for corporate pensions, foundations and endowments with emphasis on those with assets greater than $1 billion, and responsible for 20 clients.
• Promoted to Director of Client Service & Marketing in January, 1993.

Pacific Financial Asset Management Corporation (PFAMCo),Oak Brook, IL,
Marketing Director from 1989-1992

• Small to middle market institutional marketing for Pacific Investment Management Co. (PIMCO), Cadence Capital, NFJ, Parametric Portfolio Associates, and PM Realty Advisors.
• Responsible for sales and client service for institutional investors located in the Midwest and Mid-Atlantic states.

Fidelity Investments Institutional Services, Co., Dallas, TX,
Mutual Fund Wholesaler from 1987-89

• Responsible for marketing the Plymouth Funds to brokers and financial planners in the Great Plains Region or the mid-section of the US.

Merrill Lynch, Dallas, TX,
Financial Consultant from 1984-87

Education

• University of Notre Dame, BA, January of 1979

Other

• Notre Dame Wall Street Leadership Group since 2010
• Hesburgh-Yusko Scholars Program (HYSP) since 2010, a merit based scholarship program for exceptional students at Notre Dame
• Honoring America’s Heroes, as a sponsor, starting in 2011, for Notre Dame’s wounded warriors and those who serve in the military
• Played Linebacker on Notre Dame’s 1977 National Championship Team