James Gaul

Portfolio Manager-Equities at

Knights of Columbus Asset Advisors LLC

Finance

Consumer Services

Profile

Mr. James W.
Gaul, CFA, is a Portfolio Manager at Knights of Columbus Asset Advisors LLC.
As a member of the Equity Team, he is lead portfolio manager on the firm’s Small Cap Growth and Large Cap Growth strategies.
He is also responsible for management and oversight of the fundamental research analyst team.
Mr. Gaul has twenty?five years of industry?related experience, including investment banking, sales and trading, and investment management.
Prior to joining the firm in 2005, Mr. Gaul was an institutional fixed income sales professional with Commerce Capital Markets, Inc. and Advest, Inc. Previously, he worked closely with non-profit and municipal borrowers structuring tax-exempt bond issues for Advest, Inc.'s Public Finance Investment Banking department.
Mr. Gaul earned a BS degree in investments from Babson College, a MS degree in investment management at the Boston University Questrom School of Business.
He holds the Chartered Financial Analyst (CFA) designation and is a member of the CFA Institute and the CFA Society Boston.

James Gaul active positions

Companies	Position	Start
Knights of Columbus Asset Advisors LLC Knights of Columbus Asset Advisors LLC Investment ManagersFinance KoCAA is an active investment managers that focuses on risk awareness and management. They emphasize a disciplined investment management process and foster a team-based portfolio management environment. Their fixed income strategies generally seek to overweight or underweight sectors of the fixed income market based on the firm’s analysis of the relative attractiveness of the relevant sector. Issue selection is bottom-up and focused on identifying fixed income instruments that offer strong relative value versus their sector and the overall fixed income market. Generally, KoCAA does not invest client accounts in high-yield securities, but may hold securities that are below investment grade. With respect to the equities strategies, the methods of analysis and research used by the firm varies depending on client type and strategy. Generally, however, the investment process combines quantitative and qualitative models and disciplines to construct portfolios.	Portfolio Manager-Equities	30/09/2019

All active positions of James Gaul

Former positions of James Gaul

Companies	Position	End
Boston Advisors LLC Boston Advisors LLC Investment ManagersFinance Boston Advisors investment process utilizes proprietary metrics and quantitative and qualitative research from independent research providers. Their institutional investment process begins with an evaluation of the stock universe appropriate for the assignment through their proprietary stock selection engine. The stock selection process prioritizes stocks based on multi-factor statistical models to create data and liquidity screens. These factors are used conjunction with a custom risk model to quantify and manage exposures in the portfolio and portfolio construction rules to build mandate-specific portfolios, designed to target different style boxes, capitalization ranges and risk goals. For Private Account Group clients, Boston Advisors offers asset allocation and customized account solutions in addition to the Private Account Group product offerings. The process begins with a screening for good valuation and increasing business momentum across the universe of available companies to narrow down the list of potential investments. The firm then conducts a thorough review to understand the business fundamentals and dynamics of each company stock they plan to purchase. Boston Advisors will tailor services on the basis of specific client's needs and objectives and will accept restrictions on investing in certain securities or types of securities. The eligible stock universe for institutional and Private Account Group Clients include exchange listed securities, ETFs, over-the-counter securities, corporate debt securities, warrants, options, commercial paper, mutual funds, U.S. government securities, and municipal securities.	Portfolio Manager-Equities	31/08/2019
Advest, Inc. Advest, Inc. Investment Banks/BrokersFinance Provides brokerage services	Corporate Officer/Principal	-
Commerce Capital Markets, Inc. Commerce Capital Markets, Inc. Investment Banks/BrokersFinance Provides securities brokerage services	Corporate Officer/Principal	30/12/2004

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Linked companies

Private companies	6
Advest, Inc. Advest, Inc. Investment Banks/BrokersFinance Provides brokerage services	Finance
Boston Advisors LLC Boston Advisors LLC Investment ManagersFinance Boston Advisors investment process utilizes proprietary metrics and quantitative and qualitative research from independent research providers. Their institutional investment process begins with an evaluation of the stock universe appropriate for the assignment through their proprietary stock selection engine. The stock selection process prioritizes stocks based on multi-factor statistical models to create data and liquidity screens. These factors are used conjunction with a custom risk model to quantify and manage exposures in the portfolio and portfolio construction rules to build mandate-specific portfolios, designed to target different style boxes, capitalization ranges and risk goals. For Private Account Group clients, Boston Advisors offers asset allocation and customized account solutions in addition to the Private Account Group product offerings. The process begins with a screening for good valuation and increasing business momentum across the universe of available companies to narrow down the list of potential investments. The firm then conducts a thorough review to understand the business fundamentals and dynamics of each company stock they plan to purchase. Boston Advisors will tailor services on the basis of specific client's needs and objectives and will accept restrictions on investing in certain securities or types of securities. The eligible stock universe for institutional and Private Account Group Clients include exchange listed securities, ETFs, over-the-counter securities, corporate debt securities, warrants, options, commercial paper, mutual funds, U.S. government securities, and municipal securities.	Finance
Commerce Capital Markets, Inc. Commerce Capital Markets, Inc. Investment Banks/BrokersFinance Provides securities brokerage services	Finance
Babson College Babson College Other Consumer ServicesConsumer Services Functions as a College/University	Consumer Services
Knights of Columbus Asset Advisors LLC Knights of Columbus Asset Advisors LLC Investment ManagersFinance KoCAA is an active investment managers that focuses on risk awareness and management. They emphasize a disciplined investment management process and foster a team-based portfolio management environment. Their fixed income strategies generally seek to overweight or underweight sectors of the fixed income market based on the firm’s analysis of the relative attractiveness of the relevant sector. Issue selection is bottom-up and focused on identifying fixed income instruments that offer strong relative value versus their sector and the overall fixed income market. Generally, KoCAA does not invest client accounts in high-yield securities, but may hold securities that are below investment grade. With respect to the equities strategies, the methods of analysis and research used by the firm varies depending on client type and strategy. Generally, however, the investment process combines quantitative and qualitative models and disciplines to construct portfolios.	Finance
Questrom School of Business Questrom School of Business Other Consumer ServicesConsumer Services Functions as a College/University	Consumer Services

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