Kurtis W. Kupiec
Principal, President
Mr. Kupiec serves as President of KWK Management, LLC. He has been active in the securities industry for over 35 years. Prior to founding KWK Management LLC, he served as Managing Director for Roxbury Capital Management, a Santa Monica based advisory firm. There he sat on the firm’s Investment Committee that oversaw over $3 billion in market assets and served as portfolio manager for Roxbury Partners Special Fund LP. Prior to that, Mr. Kupiec was Vice-President of Trading, Pacific Stock Exchange for Wedbush Morgan Securities, one of the largest independent broker-dealers on the West Coast. While at the Pacific Exchange, Mr. Kupiec was appointed Chairman of both the Equity Listings and New Products Committees, sat on the Floor Trading Committee and was chosen as a representative of the Exchange for “Market Study 2000.” He holds a B.S. in Business Administration/Finance from the University of Southern California.
Seth M. Patterson, CPA
Portfolio Manager
Mr. Patterson joined KWK in 2022 and is a Portfolio Manager for the Firm. Prior to joining KWK he was a portfolio strategist for Saracen Capital Management where he demonstrated expertise in alternative strategies using exchange traded and over-the-counter traded products. While at Saracen he was involved in all facets of the MBS investment process, including mortgage basis trading, prepayment thematic research, security selection, specified pool strategies and portfolio hedging. Prior to joining Saracen in 2017, Mr. Patterson oversaw corporate finance, marketing and M&A functions within Gastar Exploration Inc. and also handled investor relations and reservoir engineering. At Gastar, he led multiple M&A deals with an aggregate value of more than $300 million and led the internal efforts on more than $700 million of financing transactions. In 2012, Mr. Patterson began his career with EEPB, PC a middle market public accounting and consulting firm. While there, he worked as Senior Associate and assisted clients in completing transactions in the Financial Service & Energy sectors. Mr. Patterson is a Certified Public Accountant.
Kraig A. Kupiec, CPA
Managing Member and Financial Officer
Mr. Kupiec is a Certified Public Accountant with financial audit and tax experience earned at Touche Ross & Company (now Deloite & Touche) and Coopers & Lybrand (now PriceWaterhouseCoopers). Prior to joining KWK Management LLC, he was CFO of Kingsley Machine Company. Mr. Kupiec formerly served as a member of the Board of Directors of Hanmi Financial Corporation, a Los Angeles based community bank (symbol:HAFC). Mr. Kupiec holds an accounting degree from the University of Southern California.
Douglas J. Brown
Portfolio Advisor, President – DJB Management Inc.
Mr. Brown has been active in the investment arena since 1983, with a career focus on mortgage-backed securities. Prior to joining KWK in 1998, Mr. Brown was a Senior Vice President with Wedbush Morgan Securities where he had portfolio management responsibilities, managed its fixed income department and served on the firm’s Management Committee. Mr. Brown is widely quoted as an authority on Mortgaged Back Securities and has appeared on CNBC, PBS Nightly Business Report and in other media.
Carol Weiss
Chief Compliance Officer
Carol Weiss has over 20 years of Compliance and Operations experience, primarily in the securities industry. Ms. Weiss joined KWK Management as Chief Compliance Officer in 2005. During her tenure with KWK Management, she has developed a comprehensive compliance program, including the implementation of compliance policies and procedures, monitoring programs, and other internal controls. Prior to joining KWK Management, Ms. Weiss was a Senior Compliance Examiner with FINRA (previously NASD) for six years, where she led routine and special examinations of member firms’ financial, sales, trading, underwriting and supervisory practices. Prior to joining FINRA, Ms. Weiss held various operational management roles for companies in the mortgage industry. Ms. Weiss holds a BS in Business Administration from California State University, Fullerton.