The Austin Atlantic team is a seasoned, diverse group of investment professionals, bankers, traders, and financial technology executives comprised of alumni from Merrill Lynch, Deutsche Bank, Citigroup, Alliance Bernstein, along with banks and credit unions. Leveraging experience and creativity, we drive value for retail and institutional clients by creating successful strategies and innovative products uniquely suited to serve each client’s individual investment mandates and objectives.
Rodger Shay, Jr.
President of Austin Atlantic Capital
Mr. Shay, Jr. has more than 30 years experience in the fixed-income market. From 1981 to 1985, he traded US Treasury securities for Merrill Lynch at its trading desks in New York and Tokyo. In addition, he served as the trading desk liaison to the monetary authorities and supranational agencies in Asia. From 1985 to 1988, he was the senior trader and manager of the CMO and ABS trading desk for Merrill Lynch. Since then, he has held various senior and executive roles within Austin Atlantic Capital and Asset Atlantic Asset Management (and its predecessor firms). Mr. Shay holds a BA from Colgate University.
S. Sean Kelleher
President & Chief Investment Strategist for Austin Atlantic Asset Management Co.
Prior to joining Austin Atlantic, as its fixed-income portfolio manager, Mr. Kelleher served as Senior Vice President at AllianceBernstein where he managed investment strategies that used a variety of advanced liability management and hedging techniques in the interest rate futures, swaps and volatility markets. His team managed a variety of strategies, including hedge funds, institutional long-only mandates, and mutual funds. He was directly responsible for $11 billion in investor assets, as well as another $30 billion managed by other teams. In 2000, he started the first MBS/ABS/CMBS hedge fund at AllianceBernstein focused on relative value trading in the MBS market as well as credit strategies in RMBS and CMBS. Clients included FHLMC, the State Agency for Foreign Exchange (Central Bank of China), and a variety of Fortune 100 and overseas clients. He was a member of the Fixed Income Investment Strategy Committee and Chair of the Structured Assets Research Review Committee. Prior to AllianceBernstein, Mr. Kelleher was as a trader in MBS swaps and pass-through securities at Deutsche Bank, Normura Securities and Merrill Lynch. Mr. Kelleher holds a B.S. in Finance from the University of Virginia and is a CFA charter holder.
Daniel J. Wallace
CFA Senior Vice President, Director of Distribution for Austin Atlantic Capital
Mr. Wallace joined AAC in 2005 and currently advises institutional clients in investment alternatives to achieve top-
performing portfolios. He is also the director of distribution for Austin Atlantic Asset Management Company’s Repurchase Agreement Investments and Mutual Fund products.
Mr. Wallace has worked with over 200 community financial institutions in developing balance sheet management strategies during his previous tenure at Darling Consulting Group. His work focused on building more profitable balance sheets while managing
risk, using extensive quantifiable asset/liability analysis. He also has experience in mutual funds and custodian banking, gained with various positions at Putnam Investments and State Street respectively.
Mr. Wallace graduated from the University of Massachusetts at Amherst with a degree in Finance and in Economics. He also holds an MBA and has earned the right to use the Chartered Financial Analyst (CFA) designation. He is an active member of the CFA Society as well as the Financial Managers Society. Mr. Wallace is a registered representative of Austin Atlantic Capital, holding FINRA Series 7 & 63 licenses.
Asst. Vice President, Austin Atlantic Asset management Co.
Maggie Bautista, Assistant Vice President and Portfolio Manager began her career at Shay in 1986. The focus of Ms. Bautista’s contribution to the portfolio management team involves trading support for the portfolio managers and operational support for trade execution and settlements. Before joining the Chicago portfolio management team in 2006, Ms. Bautista served as a Portfolio Administrator, where she performed a dual role assisting both investors and the portfolio managers. Prior to joining Shay, Ms. Bautista was a Security Position Control Coordinator for Harris Bank in Chicago, Illinois.
Kevin A. Rowe
Chief Compliance Officer
Mr. Rodriguez has over 20 years experience as a CFO and financial principal in broker dealers and commercial banking. Mr. Rodriguez prior experience included serving as a CFO of American Express Bank, CFO of Bank of Coral Gables, and Global Corporate Controller for Bulltick Capital Markets, LLC. Mr. Rodriquez began his career as an auditor with Price Waterhouse Coopers. Mr. Rodriquez holds a BA in accounting from Universidad Anahuac, a Masters of Accounting from Nova Southeastern University, and an MBA from Instituto Tecnologico Automono de Mexico.
Senior Vice President, Northeast Regional Director – Austin Atlantic Capital, Inc.
For over 25 years, Mr. Nolan has served in various roles in the financial industry including assisting financial institutions in entering sales of alternative products such as annuities and securities, now specializing in managed product, CD’s, MBS and treasuries. Lou previously served with large Philadelphia thrift PSFS, as Director of Retail Sales. He is Series 7 & 63 registered.
Lou attended St. Joseph’s University and is an active as member and director of both Financial Managers Society of Philadelphia and Insured Financial Institutions of the Delaware Valley. He was recently elected to the Philadelphia Sports Hall of Fame relating to his many years of broadcasting for the Philadelphia Flyers of the National Hockey League.
Mr. Williams joined Austin Atlantic Asset Management Company as a Senior Portfolio Manager in March of 2020. He currently manages AAAMCO’s Cash Management Services offering, working closely with Futures Commission Merchants (FCMs) and other institutional Clients to implement yield enhancement strategies for their cash and securities collateral portfolios. Prior to joining the Advisor, Mr. Williams worked as a Senior Vice President with HSBC’s FCM (2012-2019). While with HSBC he established and then led the unit’s portfolio management/treasury program, actively investing Client cash balances in short duration fixed income securities and repurchase transactions. Mr. Williams joined the Salomon Brothers/Citigroup Repo Finance Desk in 1996 and during the subsequent 16 years his roles included new product design, launch and management of the firm’s portfolio-based margining program, and leading the risk function for the Global Prime Finance division. He began his career with Chase Asset Management’s fixed income team. Mr. Williams earned his Bachelor of Science degree in Finance from Lehigh University.
5+ years of experience in providing quantitative financial analysis, developing investment strategies and database maintenance
- User Strategist Intern at Vincross Technology Co.
- Investment Analysis Intern at Shanghai Zenitek Group Co
- Intern at Credit Department of China Citic Bank, Zhejiang Branch
- M.A. in Statistics from Columbia University
- B.A. in Economics-Mathematics from Whitman College
Treesdale Advisors (sub-advisor to AAAMCO Ultrashort Financing Fund)
Yung Lim is Co-Founder and a Managing Member of Treesdale Partners, where he sits on the Executive Investment Committee of the multi-manager funds and direct investment funds. He has over twenty-five years of experience in the fixed income and related markets serving in various roles including investment advisory, risk management, and development of sophisticated trading strategies. Mr. Lim spent six years at Merrill Lynch and was the vice president in charge of risk management for their mortgage desk, typically handling $5 billion in inventory. Prior to this, he served as the key senior portfolio strategist in the mortgage department responsible for providing investment advice to major institutional clients. After Merrill Lynch, Mr. Lim was a senior consultantat Andrew Davidson & Co., Inc., a premier consulting firm specializing in fixed income markets, where he performed advisory work for major financial institutions and developed and marketed advanced analytical tools for mortgage securities. Mr. Lim also founded Pedestal in early 1997 to provide a comprehensive electronic platform serving the mortgage market, funded by Reuters, Deutsche Bank, and Battery Ventures. Mr. Lim has co-authored a book on advanced valuation and analysis techniques for mortgage securities titled Collateralized Mortgage Obligations, by Davidson, Ho, and Lim. He has also published various articles in major fixed-income publications, including Bond and Mortgage Markets, edited by Frank Fabozzi. Mr. Lim has an M.B.A. from the University of Chicago and a B.S. in Electrical Engineering from the California Institute of Technology.