Rodney Hathaway
Chief Investment Officer at Waukesha State Bank (Wealth Management)
Profile
Mr. Duc R.
Hathaway, CFA MBA, is a Chief Investment Officer at Waukesha State Bank.
He oversees Waukesha State Bank Wealth Management’s investment portfolio.
This includes constructing, implementing and monitoring portfolios as well as leading Waukesha State Bank’s investment committee, providing daily oversight and guidance to Waukesha State Bank’s portfolio managers, and collaborating with the bank’s outside advisor platform to meet the long-term financial needs of clients.
He also oversees Wealth Management’s research and due diligence process and is responsible for articulating the firm’s investment philosophy.
He joined Waukesha State Bank Wealth Management in 2021 with over 30 years of experience in mutual fund management, portfolio construction, client communications, financial analysis, strategic consulting and business development.
Mr. Hathaway was previously employed as a Portfolio Manager by 1492 Capital Management LLC, a Vice President by Heartland Advisors, Inc., an Equity Research Analyst by Banc One Investment Advisors, an Equity Securities Analyst by Robert W.
Baird & Co., Inc., and a Co-Founder & President by Hathaway-Nguyen Capital Management, Inc.
He holds a Masters of Business Administration degree from The Ohio State University and a Bachelors of Business Administration degree in finance from the University of Wisconsin – Milwaukee.
In addition, he has earned the prestigious Chartered Financial Analyst (CFA) designation.
Rodney Hathaway active positions
| Companies | Position | Start |
|---|---|---|
| Waukesha State Bank (Wealth Management) | Chief Investment Officer | 30/09/2021 |
Former positions of Rodney Hathaway
| Companies | Position | End |
|---|---|---|
1492 Capital Management LLC
 1492 Capital Management LLC Investment ManagersFinance 1492 Capital Management LLC (1492CM) is an independent, SEC-registered investment advisor headquartered in Milwaukee, Wisconsin. The firm was founded by Joseph “Joe” Frohna in 2008. 1492CM provides discretionary asset management services to individuals, corporations, foundations, trusts, and other separate accounts using one of the firm’s small-cap equity investment strategy models. | Portfolio Manager-Equities | 30/09/2021 |
Heartland Advisors, Inc.
 Heartland Advisors, Inc. Investment ManagersFinance Heartland Advisors, Inc. is a mutual fund manager and SEC-registered investment advisor headquartered in Milwaukee, Wisconsin. The firm's predecessor was founded in 1983 as an investment advisory subsidiary of a regional brokerage firm, The Milwaukee Co., owned in part by William J. Nasgovitz. In 1984, Mr. Nasgovitz purchased a majority interest in the investment advisory subsidiary from his partners and started managing Heartland's first mutual fund, the Heartland Value Fund. In 1988, Mr. Nasgovitz and his partners sold The Milwaukee Co. to Dain Bosworth. In the same transaction, Mr. Nasgovitz acquired the remaining shares of the investment advisory subsidiary and changed its name to Heartland Advisors, Inc. In 2000, the firm was reorganized into a wholly owned subsidiary of Heartland Holdings, Inc., but it remains a 100% employee-owned independent firm. Heartland Advisors provides investment advice to individual and institutional clients. | Analyst-Equity | 31/12/2006 |
Banc One Investment Advisors
 Banc One Investment Advisors Major BanksFinance Founded in 1992, Banc One Investment Advisors (BOIA) is a multi-style money manager delivering individually managed portfolios and mutual funds to a broad spectrum of institutional and individual clients. BOIA an indirect subsidiary of Bank One Corporation (NYSE: ONE). | Analyst-Equity | 30/12/1996 |
Robert W. Baird & Co., Inc.
 Robert W. Baird & Co., Inc. Investment ManagersFinance Robert W. Baird & Co., Inc. operates as a wealth management, capital markets, private equity and asset management firm. It offers equity research, corporate restructuring, mergers and acquisitions, public financing and fixed income services. The firm serves individual, corporate, institutional and municipal clients. The company was founded by Robert Wilson Baird in 1919 and is headquartered in Milwaukee, WI. | Corporate Officer/Principal | - |
Hathaway-Nguyen Capital Management, Inc.
 Hathaway-Nguyen Capital Management, Inc. Investment ManagersFinance Founded by D. Rodney Hathaway and Terence Pavlic, Hathaway-Nguyen Capital Management, Inc. is a hedge fund company located in Delafield, Wisconsin. They have a second investment team in Ho Chih Minh City, Vietnam. | Founder | - |
Training of Rodney Hathaway
| University of Wisconsin | Undergraduate Degree |
| The Ohio State University | Masters Business Admin |
Experiences
Positions held
Connections
1st degree connections
1st degree companies
Male
Female
Members of the board
Executives
Linked companies
| Private companies | 6 |
|---|---|
Heartland Advisors, Inc.
Heartland Advisors, Inc. Investment ManagersFinance Heartland Advisors, Inc. is a mutual fund manager and SEC-registered investment advisor headquartered in Milwaukee, Wisconsin. The firm's predecessor was founded in 1983 as an investment advisory subsidiary of a regional brokerage firm, The Milwaukee Co., owned in part by William J. Nasgovitz. In 1984, Mr. Nasgovitz purchased a majority interest in the investment advisory subsidiary from his partners and started managing Heartland's first mutual fund, the Heartland Value Fund. In 1988, Mr. Nasgovitz and his partners sold The Milwaukee Co. to Dain Bosworth. In the same transaction, Mr. Nasgovitz acquired the remaining shares of the investment advisory subsidiary and changed its name to Heartland Advisors, Inc. In 2000, the firm was reorganized into a wholly owned subsidiary of Heartland Holdings, Inc., but it remains a 100% employee-owned independent firm. Heartland Advisors provides investment advice to individual and institutional clients. | Finance |
Banc One Investment Advisors
Banc One Investment Advisors Major BanksFinance Founded in 1992, Banc One Investment Advisors (BOIA) is a multi-style money manager delivering individually managed portfolios and mutual funds to a broad spectrum of institutional and individual clients. BOIA an indirect subsidiary of Bank One Corporation (NYSE: ONE). | Finance |
Hathaway-Nguyen Capital Management, Inc.
Hathaway-Nguyen Capital Management, Inc. Investment ManagersFinance Founded by D. Rodney Hathaway and Terence Pavlic, Hathaway-Nguyen Capital Management, Inc. is a hedge fund company located in Delafield, Wisconsin. They have a second investment team in Ho Chih Minh City, Vietnam. | Finance |
1492 Capital Management LLC
1492 Capital Management LLC Investment ManagersFinance 1492 Capital Management LLC (1492CM) is an independent, SEC-registered investment advisor headquartered in Milwaukee, Wisconsin. The firm was founded by Joseph “Joe” Frohna in 2008. 1492CM provides discretionary asset management services to individuals, corporations, foundations, trusts, and other separate accounts using one of the firm’s small-cap equity investment strategy models. | Finance |
Robert W. Baird & Co., Inc.
Robert W. Baird & Co., Inc. Investment ManagersFinance Robert W. Baird & Co., Inc. operates as a wealth management, capital markets, private equity and asset management firm. It offers equity research, corporate restructuring, mergers and acquisitions, public financing and fixed income services. The firm serves individual, corporate, institutional and municipal clients. The company was founded by Robert Wilson Baird in 1919 and is headquartered in Milwaukee, WI. | Finance |
| Waukesha State Bank (Wealth Management) | Finance |
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