Management Team

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.

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.

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.

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.

Mr. Baker is a seasoned commercial banker with over 38 years in the banking industry. While serving as Director to KWK, Mr. Baker is also involved in several businesses in the Southern California area and has served as a board member for a number of community organizations. In 1988, he became President, CEO and minority stakeholder of OneCentral Bank in Glendale, California. Under his leadership, the Bank was successfully transformed from a retail community bank to a full service business bank and later sold to Glendale Federal Bank in 1997. Prior to that Mr. Baker was with Security Pacific Bank for 20 years, culminating in a posting as Executive Vice President with management responsibility for the firm’s 600 branch offices. Mr. Baker has served as a visiting professor at the National Retail School of Banking at the University of Oklahoma, the University of Washington and the University of Michigan. Mr. Baker is a graduate of California University, Long Beach.