Meet the ARK Team
A group of people passionate about disruptive innovation and tomorrow’s future.
Cathie registered ARK Investment Management LLC (“ARK”) as an investment adviser with the U.S. Securities and Exchange Commission in January 2014. Focused solely on disruptive innovation, ARK aims to identify large-scale investment opportunities in the public markets resulting from technological innovations centered around genome sequencing, robotics, artificial intelligence, energy storage, and blockchain technology.
Prior to ARK, Cathie spent twelve years at AllianceBernstein as Chief Investment Officer of Global Thematic Strategies where she managed over $5 billion. Cathie joined Alliance Capital from Tupelo Capital Management, a hedge fund she co-founded which, in 2000, managed $800 million in global thematic strategies. Prior to her tenure at Tupelo Capital, she worked for 18 years with Jennison Associates as Chief Economist, Equity Research Analyst, Portfolio Manager and Director. She started her career in Los Angeles, California at The Capital Group as an Assistant Economist. Cathie received her Bachelor of Science, summa cum laude, in Finance and Economics from the University of Southern California in 1981.
In 2018, editors at Bloomberg acknowledged Cathie by selecting her to its second annual Bloomberg 50 list of people across business, entertainment, finance, politics, technology, and science who have defined global business. Additionally, Fortune named Cathie to its exclusive roundtable of experts in the annual Fortune Investors Guide: The Best Investing Advice for 2019 From Fortune’s Experts. In 2016, Cathie received the “Women in Finance – Outstanding Contribution Award” from Market Media, and she was a featured speaker at the World Economic Forum (China) in 2016 & 2017, and the World Strategic Forum (Miami) in 2017.
Catherine's favorite innovator: Nicolaus Copernicus
Past performance is not a guarantee of future results.
James (Jay) joined ARK in April 2018. As ARK’s Chief Financial Officer and Chief Administrative Officer, James oversees the financial and administrative aspects of the firm’s operations. He has a diversified background in strategic financial analysis, accounting, taxation, systems and plan administration. Prior to joining ARK, James was Senior Vice President, Head of Business Intelligence during a 27 year career with Jennison Associates LLC. While at Jennison, James served on the Prudential Global Investment Management Diversity and Inclusion Think Tank. He began his career with National Westminster Bank, PLC . James received his Bachelor of Science in Accounting from Virginia State University and his Master of Business Administration from New York University, with specializations in leadership and corporate finance.
Jay’s favorite innovator: Dr. Charles Richard Drew
Kellen joined ARK in April 2016. As ARK’s Corporate Counsel and Chief Compliance Officer, Kellen provides a full range of regulatory, compliance and legal advice to ARK on all business matters. Kellen began his career as a Securities Compliance Examiner in the Office of Compliance, Inspections, and Examinations (OCIE) at the U.S. Securities and Exchange Commission’s (SEC) New York regional office. After OCIE, Kellen was an Attorney-Adviser in the SEC’s Division of Investment Management’s Risk and Examinations Office. Subsequently, Kellen was a Management Consultant at Ernst & Young, LLP in the Wealth and Asset Management group. Kellen received his Bachelor of Science in Human and Organizational Development with a concentration in International Development from Vanderbilt University and his Juris Doctor degree from Howard University School of Law. Kellen is admitted to practice law in New York and Georgia.
Kellen's favorite innovator: Benjamin Banneker
Tom Staudt joined ARK in June 2014. As ARK’s Chief Operating Officer, Tom manages and oversees the daily operations of the firm, screens financial markets for new opportunities, and evaluates and implements ARK’s product portfolio. Prior to joining ARK, Tom worked in a sales and consulting role for WILX. Prior to WILX, Tom interned at Fidelity Investments in its mutual fund department, and consulted on millennial investing behavior at TIAA-CREF. Tom received his Bachelor of Business Administration, magna cum laude, in Finance and Economics from the University of Notre Dame, a Master of Arts in Telecommunications Policy from Michigan State University, a Master of Science in New Media Management from the Newhouse School at Syracuse University, and his Master of Business Administration from Cornell University.
Tom's favorite innovator: Julius Nieuwland
Brett joined ARK in February 2014. Brett has worked alongside Cathie for almost 10 years since their time at AllianceBernstein. As Director of Research, Brett directs the proprietary research of ARK’s investment team. Initially, Brett directed research for ARK as principal and founder of iamB Consulting, a firm that specializes in dimensioning the ramifications of innovation and disruption for investors and high-growth ventures. From 2007 to 2012, he conducted thematic research and advised portfolio managers as a member of AllianceBernstein’s Research on Strategic Change team. His research topics included “Global Energy in the Face of Carbon Dioxide Regulation,” “Social Media and the Rise of Facebook,” the “Reformation of the Financial Services Landscape,” and the “Emergence of Electric Vehicles.” Prior 2007, Brett worked in business development in the Radio-Frequency Identification industry. Brett earned his Bachelor of Science in mechanical engineering at MIT.
Brett's favorite innovator: Alexander Winton
Sebastian joined ARK in June 2014. As the Director of Marketing, Sebastian focuses on ARK’s marketing strategy and implementation, managing ARK’s digital marketing and tracking ARK’s success metrics. Prior to ARK, Sebastian worked for several years in advertising, media production, and corporate publishing. As a Project and Sales Manager for Oestreicher+Wagner, he worked closely with companies such as BMW Group and AMB Generali to guide their transition to mobile publishing. In 2012, he received a German Fulbright Scholarship to come to the United States. Sebastian received a Bachelor of Engineering in Media Technology from Munich University of Applied Sciences, a Masters of Science in New Media Management from the Newhouse School, as well as a Master of Business Administration from the Maxwell School at Syracuse University.
Sebastian's favorite innovator: Johannes Gutenberg
Ren joined ARK as its Product Specialist in October 2018. He works closely with the investment team on ARK’s research and strategies. Prior to ARK, Ren was Vice President and Director of Investment Research & Due Diligence at Capital One’s Wealth & Asset Management division. He was responsible for leading the expansion of investment research, third-party investment manager platform, strategic asset allocation framework, and quantitative portfolio construction. He also worked as a client-facing portfolio manager developing and maintaining highly sophisticated institutional and high-net-worth client relationships and cultivating new relationships. Prior to Capital One, Ren held various portfolio management, investment due diligence and analyst roles at Morgan Stanley Private Bank, Nomura Holdings, and Legg Mason, Inc. Ren is a CFA® and CAIA® charter holder, and earned his Bachelor of Business Administration in Accounting and Master of Science in Finance from Loyola University Maryland.
Romane joined ARK as Director of Compliance in June 2018. He assists the Chief Compliance Officer in providing a full range of regulatory and compliance advice and oversight. Romane has over 23 years of industry experience and began his career as a Case Manager at Ernst & Young LLP in the General Counsel’s Office. Romane then joined Morgan Grenfell (a subsidiary of Deutsche Asset Management) as a Compliance Officer supporting the Small & Micro Cap equity business and later transitioned to a Client Portfolio Manager role. Subsequently, Romane accepted a position as Vice President of Separate Account Compliance at J. & W. Seligman Inc. and later transitioned to several senior administration and investment operations roles culminating as the Vice President of Private Funds, Wrap & Trust Administration for Columbia Management Investment Advisers, LLC. Romane graduated from Fordham University with a Bachelor of Arts in Middle Eastern Studies and History and was a member of the US Army Reserve component.
Romane's favorite innovator: Flavius Belisarius
Lisa joined ARK in July 2015. Lisa is ARK’s Strategic Marketing and Development Manager, focusing on marketing operations, business development, corporate communications, and public relations. Prior to ARK, Lisa worked as the Marketing Manager for the national commercial real estate company, Pioneer Companies. In that capacity, she collaborated with all departments to design and implement marketing strategies across platforms that built brand recognition and fostered business development. Lisa received a Bachelor of Arts in Sociology and Anthropology from Colgate University and a Masters of Science in New Media Management from Syracuse University’s Newhouse School of Public Communications.
Lisa's favorite innovator: Sir Tim Berners-Lee
Bill joined ARK as the Principal Financial Officer, Investment Products in June 2018. With over 30 years of experience in fund accounting and fund administration, he leads investment product, account and fund functional/ procedural activities for ARK. Prior to ARK, Bill was Fund Principal Financial Officer at Foreside Financial Group, LLC, where he served as outsourced Chief Financial Officer for the ARK ETF suite. Bill worked at State Street Corporation for over 15 years, rising to Department Head and Vice President of Fund Administration. Over the period, Bill served as Fund Treasurer/Assistant Treasurer for 56 Fund clients with 750 Funds totaling approximately $70 billion in assets and oversaw a team of 125 professionals. Before State Street, he was an Assistant Vice President for Putnam Investments in Boston for almost five years, covering Compliance, Risk Reporting and Financial Reporting. Bill is a Certified Public Accountant (CPA), and started his career as a Senior Auditor for Arthur Andersen & Co.
Bill's favorite innovator: Satoshi Nakamoto
Althea joined as an Executive Assistant at ARK in April 2014. In 2002, Althea began her career at AllianceBernstein where she worked for twelve years as an Administrative Assistant to Cathie, who was then the Chief Investment Officer for Global Thematic Strategies. On behalf of the Thematic team at AllianceBertstein, Althea also collaborated and coordinated with several senior level managers and investment professionals around the world.
Althea's favorite innovator: Madam C.J. Walker
Will joined ARK in October 2014. As Trading Manager, he works closely with Tom and Cathie managing ARK’s investment strategies. Prior to ARK, Will was an intern at TIAA-CREF with responsibilities including financial modeling and forecasting for numerous business and technology projects. He received his Bachelor of Science in Accounting, cum laude, from Bryant University in Rhode Island.
Will's favorite innovator: Alan Turing
Tasha joined ARK in January 2014 and is an analyst for ARK’s Industrial Innovation strategy and The 3D Printing ETF. She covers autonomous cars, additive manufacturing, infrastructure development, and innovative materials. Previously, she worked for almost three years as a management consultant for Applied Value, working primarily with manufacturing and automotive clients.
Tasha is a graduate of Boston University’s Collaborative Degree Program with a Bachelor of Science in Business Administration with a Finance concentration, and a Bachelor of Arts in Mathematics and Statistics with a Pure and Applied Mathematics concentration. Tasha has appeared on CNBC, BNN, Cheddar Live, and frequent webinars with Robotics Business Review. She has been quoted and had her research featured in The Wall Street Journal, Forbes, Wired, the Verge, Bloomberg, CNNMoney, and Marketwatch, among other publications.
Tasha's favorite innovator: Nikola Tesla
Sam joined ARK as a thematic analyst on the Industrial Innovation team in July 2015. His focus is on automation, robotics, energy storage, alternate energy, and space exploration. Prior to ARK, Sam was a business development intern at Graphiq, a knowledge graph and visualization company. Prior to Graphiq, Sam worked as a captain for Sail Caribbean. Sam graduated from the University of Pennsylvania where he studied Cognitive Science with a concentration in Computation and Cognition. He has appeared on BNN and Cheddar, and has been quoted in The Wall Street Journal, CNN Money, the Los Angeles Times, and other publications.
Sam's favorite innovator: Daniel Bernoulli
James joined ARK as an analyst in the Next Generation Internet team in April 2015, focusing on artificial intelligence and the next wave of the internet. James worked for nine years at NVIDIA where he helped launch GeForce Experience, a PC gaming application with over 80 million users. He founded and edited GeForce.com, NVIDIA’s gaming portal with over 15 million visitors. He has written about the technology industry since 2000 for various magazines and publications. James graduated from the University of New South Wales with Bachelor of Engineering degree in Computer Engineering.
James' favorite innovator: Gordon Moore
Yassine joined ARK as Blockchain/ Cryptoasset analyst in July 2018. He was a Summer Analyst at Rembrandt Venture Partners and Arena Investors LP, and is the Co-Founder of the smartphone application Neevo, Inc. Yassine graduated from the University of Pennsylvania with a Bachelor in Economics from Wharton and a Bachelor in Systems Engineering from The School of Engineering.
Yassine's favorite innovator: Richard Feynman
Simon's favorite innovator: Paul Dirac
Max joined ARK as a Fintech Analyst in December 2018. Prior to ARK, he spent nearly two years at Redstone, a Berlin-based venture capital firm. Max also was Research Assistant at the Centre for European Economic Research (ZEW), where he studied the syndication behavior of venture capitalists and subsequent effects on their portfolio companies. Max obtained his Bachelor of Science in Economics from the University of Heidelberg.
Max's favorite innovator: Sir Isaac Newton
George joined ARK as a Fintech Analyst in August of 2019. Prior to ARK, George worked at Square for almost five years, where he most recently worked on the capital team, Square’s lending arm. George graduated from Brown University with a Bachelor of Arts in Business, Organizations and Entrepreneurship.
George's favorite innovator: Leonardo da Vinci
Caroline joined ARK in September 2016. In her role as a Marketing Manager, Caroline helps to implement ARK’s social media and marketing strategy, and contributes to the photography and videography on ARK’s website. Prior to joining ARK, Caroline worked for a photography studio and art gallery while devoting her free time to fundraising at Save the Children. She graduated from Gettysburg College with a Bachelor of Arts degree, with honors, in Art History and a minor in Spanish.
Caroline's favorite innovator: Maria Montessori
Nick joined ARK as Trading / Research Associate in July of 2018. Prior to ARK, Nick worked at York International Insurance and Vestorly, a New York-based tech start-up. He also interned at Deutsche Bank, and Gamma Real Estate- a boutique commercial real estate firm. Nick graduated from the University of Michigan with a Bachelor of Arts in Political Science and minored in Entrepreneurship.
Nick's favorite innovator: Galileo Galilei
Ariel joined ARK in August 2019. Prior to ARK, Ariel worked as a Senior Compliance Associate at WisdomTree Asset Management. In that role, she supported the sales and marketing departments by reviewing advertising, RFPs and DDQs to ensure compliance with regulatory and firm guidelines. At WisdomTree, she enhanced the firm's compliance program by assisting with the testing of policies and procedures and drafting the firm's procedure documents. Prior to that, she worked as a Senior Paralegal at OppenheimerFunds. In that capacity, she was responsible for reviewing advertising and preparing regulatory filings. Ariel earned her Bachelor of Arts in History from Scripps College.
Ariel's favorite innovator: Louis Armstrong
Nate joined ARK in October 2019. In his role, Nate works closely with ARK's Operations and Portfolio Management teams to help manage ARK's investment strategies. Prior to ARK, Nate worked at ITG and later Virtu (acquired ITG in 2019) on the Execution Management System and Workflow teams. His responsibilities included training clients on ITG’s trading systems, creating custom workflows to more efficiently execute in the markets, and running various analyses to determine potential cost efficiencies. Nate received his Bachelor of Science in Commerce from The University of Virginia McIntire School of Commerce with a concentration in Finance and Information Technology.
Nate's favorite innovator: Benoit Mandelbrot