Mr. Cummins has served as Chief Compliance Officer since June 2015 pursuant to an agreement between Oxford Funds and Alaric Compliance Services, LLC (“Alaric”), a compliance consulting firm. Mr. Cummins currently serves as the Chief Compliance Officer of Oxford Funds, LLC, Oxford Square Capital Corp., Oxford Square Management, LLC, Oxford Lane Capital Corp., Oxford Lane Management, LLC, and Oxford Gate Management, LLC. Mr. Cummins has been a director of Alaric since June 2014 and in that capacity he also serves as the Chief Compliance Officer to a private equity firm. Prior to joining Alaric, Mr. Cummins was a consultant for Barclays Capital Inc. from 2012 to 2013, where he participated in numerous compliance projects on pricing and valuation, compliance assessments, and compliance policy and procedure development. Prior to his consulting work at Barclays, Mr. Cummins was from 2010 to 2011 the COO and the CCO for BroadArch Capital and from 2009 to 2011 the CFO and CCO to its predecessor New Castle Funds, a long-short equity asset manager. Prior to that, Mr. Cummins spent 25 years at Bear Stearns Asset Management, where he was a Managing Director and held senior compliance, controllers and operations risk positions. Mr. Cummins graduated with a B.A. in Mathematics from Fordham University.
Ms. Paul is the Director of Operations at Oxford Funds, LLC. She is responsible for trade settlement operations, middle office functions and compliance. Ms. Paul received her B.A. from Gordon College.
Sergio Giudici is Head of Information Technology at Oxford Funds, LLC. Previously, he worked at Axiom Technology Group as a Network and Structure Engineer. Before joining Axiom, Mr. Giudici worked as a Network and Virtual Deployment Engineer at New Vision Systems and as a Technology and Engineering consultant and Head of Information Technology at National Tree Company. He received a B.A. in Computer Science from Full Sail University and a B.A. in Hardware and Software Management from ORT University in Uruguay.
Mr. Ball is a Middle Office Associate of Oxford Funds, LLC. Previously, Mr. Ball was an Assistant Vice President on the Operations team at Anchorage Capital Group, LLC. Mr. Ball received a B.A. in Economics cum laude from Villanova University.
Mr. Gurrera is the Controller and Vice President, Finance of Oxford Lane Capital Corp and Vice President, Finance of Oxford Square Capital Corp. He was formerly an Accountant at Ellington Management Group, LLC, a hedge fund specializing in asset-backed securities. From 2002 to 2006, Mr. Gurrera was a Senior Auditor at Ernst & Young LLP focusing on hedge funds, broker dealers and private equity institutions. Mr. Gurrera received his BBA in Accounting from the Hagan School of Business at Iona College and is a licensed Certified Public Accountant in the State of New York.
Mr. Smoroda is the Controller, Private Funds of Oxford Funds, LLC. Previously, he worked as a Senior Associate in the Assurance Asset Management practice of PricewaterhouseCoopers where he served clients in the alternative investments industry, primarily hedge funds and private equity funds. Mr. Smoroda received his Bachelor of Science in Accounting from Lehigh University and is a licensed Certified Public Accountant in the State of New York.
Mr. Maji is a Senior Managing Director and Portfolio Manager of Oxford Funds, LLC. Mr. Maji has been investing in U.S. CLO equity and U.S. CLO junior debt tranches since 2009 and leads Oxford Funds’ CLO investing team. Mr. Maji graduated from the Jerome Fisher Program in Management and Technology at the University of Pennsylvania where he received a B.S. in Economics from the Wharton School (and was designated a Joseph Wharton Scholar) and a B.A.S. from the School of Engineering.
Mr. Yonon is a Managing Director and Portfolio Manager of Oxford Funds, LLC. He has been managing the firm’s loan portfolio since 2016. Previously, Mr. Yonon was an Associate at Deutsche Bank Securities and prior to that he was an Analyst at Blackstone Mezzanine Partners. Before joining Blackstone, he worked as an Analyst at Merrill Lynch in the Mergers & Acquisitions group. Mr. Yonon received a B.S. in Economics with concentrations in Finance and Accounting from the Wharton School at the University of Pennsylvania, where he graduated magna cum laude, and an M.B.A. from the Harvard Business School.
Mr. Kupka is a Managing Director of Oxford Funds, LLC. Previously, he worked as a risk analyst for First Equity Card Corporation. Mr. Kupka has a B.S. in Mechanical Engineering from the University of Pennsylvania, where he was the Abel and Bernstein Class of 1945 Scholarship Recipient.
Mr. Banafsheha is a Principal of Oxford Funds, LLC. Previously, Mr. Banafsheha was a Vice President in the Finance division of Goldman Sachs. Prior to joining Goldman Sachs, he was a Senior Consultant at Deloitte. Mr. Banafsheha received a B.S. in Business Administration with a concentration in Finance from the State University of New York, University at Albany, where he graduated magna cum laude, and an M.B.A. from the MIT Sloan School of Management. Mr. Banafsheha has also attained the Chartered Alternative Investment Analyst (CAIA) designation.
Mr. Mascarinas is the Head of Business Development of Oxford Funds, LLC. Previously, he was the Head of Marketing and Client Service at SummerHaven Investment Management and prior to that was a Senior Client Advisor at Kepos Capital and a Principal at Eight Seven Capital. Before launching Eight Seven Capital, he held several senior analytical and investor focused roles at Bridgewater Associates. Mr. Mascarinas received his B.S. in Finance from Fairfield University.
Mr. Bartfield is a Managing Director of Oxford Funds with responsibility for fund raising and investor relations. Previously, he was a Business Development Specialist with III Capital Management, a fixed income/credit hedge fund manager. Prior to his tenure with III, he was a Managing Director at Laurus Capital Management, an Asset Based Lending hedge fund manager where he had responsibility for all North American capital raising. Earlier in his career, Mr. Bartfield helped design and implement UBS’ “Capital Introductions” business in the US.
Mr. Aleksa is a Vice President of Oxford Funds, LLC. Previously, Mr. Aleksa was a Senior Analyst in the Capital Markets group at CBA Commercial. Mr. Aleksa received a B.A. in Accounting and Finance from Franklin & Marshall College. Mr. Aleksa is also a CFA Charterholder.
Mr. Vallie is an Associate of Oxford Funds, LLC. Previously, Mr. Vallie was an Operations Associate on the Operations team at Chilton Investment Company. He received a B.A. in Economics from Marist College.
Mr. Faenza is an Accounting Manager of Oxford Funds, LLC. Previously, Mr. Faenza worked at RSM US LLP within the Financial Services Assurance group, focusing on private equity institutions and hedge funds. Mr. Faenza received his Bachelor of Science in Accounting and his Master of Science in Accounting from the University of Connecticut and is a licensed Certified Public Accountant in the State of Connecticut.
Mr. Rothman is an Accounting Manager of Oxford Funds, LLC. Previously, Mr. Rothman worked as a Manager in the Financial Services Assurance group at Ernst & Young U.S. LLP, where he served clients in the alternative investments industry, focusing primarily on private equity institutions and hedge funds. Mr. Rothman received his Bachelor of Science in Accounting from Pace University and is a licensed Certified Public Accountant in the State of New York.
Mr. Longo is a Senior Accountant at Oxford Funds, LLC. Previously, Mr. Longo worked at Ernst & Young US LLP within the Financial Services Assurance group, focusing primarily on banking and capital market institutions. Mr. Longo received his Bachelor of Science in Accounting and his Master of Science in Accounting from Fairfield University and is a licensed Certified Public Accountant in the State of Connecticut.
Mr. Cohen is the Chief Executive Officer of Oxford Lane Capital Corp. and is also the Chief Executive Officer of Oxford Square Capital Corp. Previously, Mr. Cohen managed technology research groups at Wit SoundView, Merrill Lynch & Co., UBS Securities and Salomon Smith Barney. Mr. Cohen has more than 15 years of experience in technology-related equity research and was named to the Institutional Investor “All-American” research team in 1996, 1997 and 1998. Mr. Cohen received a Bachelor of Arts degree in Economics from Connecticut College and an M.B.A. from Columbia University.
Mr. Rosenthal is the President of Oxford Lane Capital Corp and is also the President and Chief Operating Officer of Oxford Square Capital Corp. Previously, Mr. Rosenthal was an attorney at the law firm of Shearman & Sterling LLP. Mr. Rosenthal is a board member of Oxford Lane Capital Corp. and the National Museum of Mathematics. He received a Bachelor of Science degree magna cum laude from the Wharton School of the University of Pennsylvania, a J.D. from Columbia University Law School, where he was a Harlan Fiske Stone Scholar, and a LL.M. (Taxation) from New York University School of Law.
Mr. Rubin is the Chief Financial Officer of Oxford Lane Capital Corp. and holds the same position at Oxford Square Capital Corp. He is the former Assistant Treasurer & Director of Financial Planning of the New York Mercantile Exchange, Inc., the largest physical commodities futures exchange in the world and has extensive experience with Sarbanes-Oxley, treasury operations and SEC reporting requirements. From 1989 to 1995, Mr. Rubin was a manager in financial operations for the American Stock Exchange, where he was primarily responsible for budgeting matters. Mr. Rubin began his career in commercial banking as an auditor primarily of the commercial lending and municipal bond dealer areas. Mr. Rubin received his BBA in Accounting from Hofstra University where he also obtained his Masters of Business Administration in Finance.