Biographies

Kim D. Arthur is a founding partner of Main Management, LLC.  He currently serves as Main’s CEO and Portfolio manager.  In 2009 Kim was recognized by Institutional Investor Magazine as a "Rising Star" of Foundations and Endowments.  Kim is a regular speaker at national conferences and was a featured speaker at the Inside ETFs conference in Boca Raton in January 2010.  Kim has been profiled in articles by Index Universe and referenced in Barron's, Wall Street Journal, Business Week and Fortune Magazine among others.  Kim began his financial career in 1987 when he joined Montgomery Securities in their Institutional Sales division, marketing U.S. equities to Japanese institutions.  He was promoted to managing director of institutional sales in 1997 during the period when Montgomery was purchased by Nations Bank.  By 1999 he had advanced to the transitional head of International Sales for Banc of America Securities, following Bank of America’s takeover of Nations Bank.  From 2000-2001 Kim was named the head of the Institutional Sales and Trading Department overseeing 60 sales traders in 6 cities. From January 2002 through August 2002 he was appointed the head of Equity Product Marketing. He served on the Investment Policy Committee and the Executive Management Committee at Banc of America Securities from 2000-2002.  He holds Series 7, 24 and 63 licenses from the NASD.

James W. Concidine is a founding partner of Main Management, LLC. He currently serves as a Managing Director and is a member of the Investment Committee. Jim began his career in the financial services industry in 1970 as a stock broker for Dain Kalman Quail in Rochester and Minneapolis, Minnesota. He worked with high net worth clients from 1970-1978. When the CBOE opened in April 1973, Jim began to specialize in conservative covered call writing strategies. From 1978 to 1982, Mr. Concidine worked in the Institutional Sales group and was responsible for U.S. equity sales to institutional accounts in the UK. He joined Montgomery Securities in 1983 as Head of the International Institutional Sales Team. From 1983 to 1992 he expanded the department to a team of 10 brokers covering global accounts outside the US. He retired from Montgomery Securities in 1992. Since 1995, he has served as CIO for a sizable San Francisco family office where his duties include manager selection and asset allocation. 

Blaine Docker joined Main Management in April 2005 and serves as the Chief Operating Officer. He was born in Fresno, California and received a Bachelor of Arts in Political Science from the University of Colorado. While in school he worked as an Assistant Trade Specialist for the U.S. Export Assistance Center in Denver, CO. Prior to joining Main he worked as a Consultant for Capton Inc., a leading developer of RFID-based business control solutions for hospitality. At Capton, Blaine advised on International market viability and country specific export regulations.

Hafeez Esmail has served as Vice President, Director of Marketing at Main Management since September 2007.  Hafeez is responsible for Main’s marketing efforts for family offices, pension funds, and other institutional investors.  He was a panelist at the Superbowl of Indexing Conference in December 2009 where he spoke on the subject of "Customized Exposure and Risk Management".  Prior to joining Main he served as an advisor with Merrill Lynch Global Wealth Management. At Merrill he utilized ETFs as the actively managed core of client portfolios, as they provided an efficient means of diversification and risk mitigation.  Satellite exposure included allocations to offshore hedge funds, private equity vehicles and structured notes. Prior to Merrill, he was an advisor at Morgan Stanley Global Wealth Management, working with wealthy individual clients, non-profit and corporate entities. Hafeez has also worked for the Department of Justice's Antitrust Division, aiding in the criminal prosecution of corporate executives engaged in price fixing in the rubber chemicals industry.  He holds a BA in Government and Economics from Bowdoin College and a JD from Seton Hall Law School.

Ambassador J. Richard Fredericks, of San Francisco, California, is a founding partner of Main Management, LLC. He currently serves as a Managing Director and is a member of the Investment Committee. He began his career with Dean Witter in 1970 as a securities analyst and joined Shuman, Agnew and Company five years later as a partner in the same capacity. In 1977, he joined Montgomery Securities (now Banc of America Securities) as a partner and later Senior Managing Director in Investment Research, covering the banking and financial service area. For 17 consecutive years, Mr. Fredericks was chosen by Institutional Investor Magazine as an ''All-American'' Research Analyst, covering the commercial banking industry. In 1995, Mr. Fredericks formally changed roles to oversee the firm's investment banking effort for the financial industry. Ambassador Fredericks served as United States Ambassador to both Switzerland and to Liechtenstein from 1999 to 2001. Mr. Fredericks currently is on the Board of Directors of the Janus Capital Group; the Board of Regents of Georgetown University and Georgetown's Robert Emmett McDonough School of Business; the Library of Congress Trust Fund Board; the Board of Regents of St. Ignatius College Preparatory School; the Advisory Board of Financial Technology Ventures; the Board of the Swiss/ American Chamber in San Francisco and serves as Chairman of the San Francisco-Zurich Initiative. He recently served on the Board of Directors of the Chiron Corporation (acquired) and the International Advisory Board of Komatsu.

Richard Gadbois is the President and Managing Partner of Mullin Asset Management LLC based in Newport Beach, California. Previously was President and co-founder of Vantis Capital Management LLC, a hedge fund, in 2001. At Vantis Richard built the assets of the firm to $1.5 billion by 2004. From 1994 to 2001 he was Senior Vice President, Private Wealth Management at Merrill Lynch & Co. where he developed high net worth private banking service for entrepreneurs at primarily public companies in the U.S. and Europe. At Merrill RIchard built an asset base of over $5 billion. From 1989 to 1994 he served as Senior Vice President, Corporate Executive Services at Prudential Securities. At Prudential he worked exclusively with insiders at publicly held companies providing solutions for concentrated stock positions and structured asset management strategies for clients post liquidity events. In addition Mr. Gadbois serves on the board of directors of several organizations including the Quiksilver/Rossignol Foundation and as an Investment Committee Member of the Pacific Symphony.