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University of California at Los Angeles: BS
Professional Designation in Microcomputer and Local Area Network Support, UCLA
Professional Designation in Systems Analysis, UCLA
John has been with Oakwood Capital Management since 1998, immediately after the firm’s formation. His current responsibilities as Vice President – Securities Analyst (Equity Department) and member of the investment management team include investing and managing equity and balanced portfolios, tracking and analyzing stocks, and trading equities and mutual funds. He holds the Series 65 license.
Prior to joining the Equity Department, John had several assignments, including the set-up of the firm’s information technology system, disaster recovery program, compliance reporting and marketing reports and materials.
Before joining Oakwood, John was employed by RNC Capital Management Co. in its Information Technology Department. In 2002, John completed a second certification course offered at UCLA and earned the Professional Designation in Systems Analysis to complement his Professional Designation in Microcomputer and Local Area Network Support.
John and his wife, Myra, an accountant, have two children. He enjoys soccer, basketball and running; he has finished the LA Marathon four times.
University of Utah: BS (Honors)
University of Utah: MBA
University of Washington Pacific Coast Banking School (Honors)
Tom co-founded Oakwood in 1998, and in addition to serving as Executive Vice President, Tom focuses on Private Client Wealth Management. His primary responsibilities are business development and client service. Tom is also a member of Oakwood’s Investment Policy Committee. He holds the Series 65 and several other FINRA security licenses.
Tom was Vice President/Trust Officer and Division Manager for Valley Bank of Nevada (now Bank of America) from 1976 to 1982. Subsequently, he joined American Bank of Commerce (now Wells Fargo) where he was Vice President/Senior Trust Officer and Manager. In this position, Tom was responsible for the establishment of the Financial Services Department, including the selection and implementation of the trust accounting computer system and the registered investment advisor and depository relationships. He was additionally responsible for business development and client service. Tom joined RNC Capital Management Co. in 1988 as Vice President and Director of the Bank Division. In his ten years at that organization, he was especially active in developing the firm’s institutional business. He joined Oakwood in 1998.
Tom and his wife, Barbara, a teacher, have been married for over 30 years and have three children, Tom (business executive), David (CPA) and Jennifer (interior designer). Tom enjoys spending time with family and friends, and has always been interested in automobiles and golf.
University of the East: BBA
University of California at Los Angeles: MBA
Nick co-founded Oakwood in 1998, and in addition to serving as Executive Vice President, Chief Operating Officer and Chief Financial Officer, he is also the Chief Compliance Officer, a member of the Investment Policy Committee and co-manages Oakwood’s global investment strategies. His main responsibilities include running finance, structured portfolio management, compliance and personnel.
Nick began his career with the public accounting firm of SGV & Co., CPAs (member of Ernst & Young International). He worked on various engagements in several industries, including companies in manufacturing, trading, real estate and financial services. He joined RNC Capital Management Co. in 1972, was appointed CFO in 1973, became a Principal in 1981 and a Senior Vice President in 1983. He also served on that firm’s Executive Management Committee. During Nick’s tenure he was instrumental in the development, testing and implementation of a portfolio accounting, analysis and trading system now used by Oakwood. He was also directly responsible for the conceptualization, creation and development of all internal operating systems and keeping the firm in compliance with Global Investment Performance Standards (GIPS).
Nick is a CPA/PFS and a member of the American Institute of Certified Public Accountants (AICPA), California Society of CPAs, CFA Institute (CFA) and the Los Angeles Society of Financial Analysts. He holds the Series 65 and several other FINRA security licenses.
He and his wife, Mabi has been married over 40 years and have two children: Ruth, who works in New York as a commercial film editor and Jason, who lives in Los Angeles. Nick loves to play golf, read good books, travel and hike the local trails.
California State University, Long Beach: BS
Max joined Oakwood Capital Management in 2014. As part of the Private Client Wealth Management team, his responsibilities include providing business development and client service support. In that capacity, he works with other members of the Wealth Management team in preparing investment proposals for prospective clients and account reviews for existing clients. He holds the Series 65 security license.
Before joining Oakwood, Max worked in the financial services industry at The Capital Group (American Funds Retirement Plan Operations) to set up and service retirement plans on their Recordkeeper Direct platform. He has also worked and interned with various financial advisors at Morgan Stanley, Wells Fargo Advisors, and Merrill Lynch.
Max enjoys playing live music and working on motorcycles.
California State University, Fullerton: BS
Kevin joined Oakwood Capital Management in early 2015. As the Information Technology Manager, his responsibilities include developing and maintaining cloud integration and in-office systems, providing an interface between employees and vendors, ensuring the company stays relevant within the information world, and assisting employees in transitioning to a fully digital world.
Before joining Oakwood, Kevin worked for Vista Electronics as a Systems Support Administrator. He has designed and supported various systems for Jeopardy!, The Price Is Right, Jimmy Kimmel Live, SXSW, Nike, Sonos, and Blizzcon.
Kevin enjoys camping, hiking, paintball, gaming, reading the latest sci-fi, and tinkering with new tech.
University of California at Los Angeles: BA
Southwestern University School of Law: JD
Bruce co-founded Oakwood in 1998, and in addition to serving as President & Chief Executive Officer, he also chairs the Investment Policy Committee and co-manages the firm’s global investment strategies.
His other primary responsibilities are directing the firm’s business activities and strategic direction, mentoring the younger employees and growing the firm’s profitability.
He excels at developing consultative relationships with clients and helping them with their estate planning and other wealth management needs.
Prior to starting his career in the investment industry, Bruce gained broad entrepreneurial and business experience in the real estate, import/export and restaurant industries. His interest in real estate continues to this day.
After graduating from law school in 1977, Bruce joined RNC Capital Management. He became a Principal of that firm in 1984 and Director of Marketing and Client Service in 1992.
He also served on RNC’s Executive Management Committee, which involved overseeing all facets of the management of the company, until he left the firm to co-found Oakwood.
Bruce is a member of the CFA Institute (CFA) and the Los Angeles Society of Financial Analysts, and he holds the Series 65 along with several other FINRA security licenses.
Outside of his work at Oakwood, Bruce has served on the Boards of various organizations, and was the former President of the Water Buffalo Club, which is a charitable organization dedicated to providing support and hosting events for the benefit of at-need and underserved children in the Los Angeles community.
Bruce is a charter member of Rotary International District 5300 Las Vegas WON. He is also an active member of ProVisors, a network of professionals dedicated to serving their clients with the highest standards of integrity, performance and accountability.
University of Southern California: BA
Mindy joined Oakwood Capital Management’s Fixed Income Department in 2007 and has recently been promoted to Vice President- Portfolio Manager. She is also a member of the firms Investment Policy Committee. Her day-to-day responsibilities include portfolio analytics, securities trading, account monitoring and computer support. Mindy also collects and analyzes market data, and she is involved in the development of quantitative risk models used to project taxable and tax exempt return outcomes. She holds the Series 65 license and is a certified Bloomberg expert.
In her free time, Mindy enjoys traveling, painting and skiing.
University of California, Los Angeles: BA
Chartered Financial Analyst (CFA)
Ayako joined Oakwood Capital Management in 2014. Her main responsibility is the research and analysis of individual stocks within Oakwood’s managed equity strategies and portfolios. She also serves as a member of the firm’s Investment Policy Committee. Ayako is a CFA charter holder, and is a member of the CFA Institute and the CFA Society of Los Angeles.
Ayako began her career with the Capital Group in the Institutional Client Relations and Marketing department. She moved on to join Provident Investment Counsel as a Portfolio Analyst, monitoring portfolio trading and guidelines for over $4 billion in equity securities. She then was promoted to Vice President- Research Analyst, covering multiple cyclical sectors and providing recommendations to portfolio managers for the $ 12 billion Large Cap product. In 2008, Ayako joined 300 North Capital as an analyst covering Health Care and Industrial stocks for the company’s small, mid and all-cap strategies. In 2011, she became the Director of Research, where she was responsible for constructing the firm’s investment process, confirming that this process was followed and also supervising a team of analysts.
Ayako is married with two children and enjoys traveling, sports, dining out and cooking.
Loyola Marymount University: BBA
Professional Certificate in Personal Financial Planning, UCLA
Certified Treasury Professional (CTP)
Ariel joined Oakwood Capital Management in 2014 as a Senior Vice President – Fixed Income, and has been promoted to the position of the Director of Fixed Income Investments. He is actively involved in all aspects of fixed income research and investment for Oakwood’s taxable and tax exempt accounts. He also serves as a member of the firm’s Investment Policy Committee. Ariel has earned the Certified Treasury Professional (CTP) designation and also holds the Series 65.
Ariel began his career as a Financial Consultant with Paine Webber. He then joined City National Bank Wealth Management as an Associate Fixed Income Portfolio Manager and was later promoted to Investment Officer and Municipal Bond Trader. In that position he managed over $1 billion in Tax-Exempt Municipal Floating Rate securities.
In January of 2007, Ariel moved to the City of Los Angeles, Office of the Treasurer, as an Investment Officer. In this position, he was responsible for managing over $8 billion in Fixed Income securities, including over $6 billion in an intermediate term total return strategy structured with Government, Agency and Corporate bonds; with an additional $2 billion in short term Money Market instruments. Ariel was also responsible for participating in the underwriting process of new Los Angeles General Obligation Municipal Bonds, and managed the bond proceeds after the bonds were issued.
Ariel is married with two children and enjoys spending time at Disneyland and the local parks. He is also an avid soccer fan.