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    • SPF Investment Management

      SPF Investment Management, L.P. (“SPF”) is a New York based, SEC registered investment adviser(1) that provides clients with investment management services focusing on the structured credit market.

    • SPF Team

      Albert Sohn

      Chief Investment Officer

      Mr. Sohn is the CIO of SPF IM. Previously, Mr. Sohn was the CIO of the Securitized Products Fund at Credit Suisse Asset Management, LLC ("CSAM") and prior to that was the Global Head of Securitized Products at Credit Suisse’s Investment Bank ("CSIB"), responsible for all aspects of the business including trading, sales, and banking activities. From 2009 to 2011, he held the role of Co-Head of Global Securitized Products, where he was responsible for RMBS/ABS/CMBS/CLO/CDO trading. From 2000 to 2008, Mr. Sohn held various senior level positions as Head of Secondary Trading for ABS/MBS Credit & CDOs/CLOs, and Head of the Agency CMBS desk. Mr. Sohn had been with Credit Suisse since 1993, and until 2000 served as a trader in the CMBS space. Mr. Sohn graduated from Cornell University with a BS in 1992.

      Gary Buchalter

      Portfolio Manager

      Mr. Buchalter is a Managing Director of SPF IM. Previously, Mr. Buchalter was a Managing Director at CSAM and a member of the Portfolio Management Team of the Securitized Products Fund. Prior to that, Mr. Buchalter worked in various roles at CSIB including serving as a Senior Line Trader on the Non-Agency Desk, trading Prime, Alt-A, Subprime, Re-remic Mezz, and Derivatives. From 2005- 2009, he was the primary structurer on the Fixed Rate RMBS desk. Prior to CSIB, Mr. Buchalter was a senior consultant with Deloitte & Touche (2001-2005) on their Transactions team. Mr. Buchalter graduated from Penn State University in 2001.

      Cory DeForrest

      Portfolio Manager/Product Specialist

      Mr. DeForrest serves as Managing Director of SPF IM. Previously, Mr. DeForrest was a Managing Director at Credit Suisse and a member of the Portfolio Management Team of the Securitized Products Fund since 2012. From 2009 – 2012, Mr. DeForrest served as a senior salesman in the Securitized Products group at CSIB responsible for selling Prime, Alt-A, Pay Option ARMs, Subprime, Re-remic mezz and derivative cash flows. In 2008, Mr. DeForrest worked on the Institutional Securitized Sales Desk at the Royal Bank of Scotland (RBS). Prior to RBS, he served as a member of the Bear Stearns Reverse Engineering Desk focusing on shifting interest and overcollateralization structures from 2006-2008. He graduated from West Chester University with a BS in Finance and Economics in 2005.

      Jim Drvostep

      Portfolio Manager

      Mr. Drvostep serves as Managing Director of SPF IM. Previously, Mr. Drvostep was a Managing Director at CSAM and a member of the Portfolio Management Team of the Securitized Products Fund since 2013. Prior to this, Mr. Drvostep worked at CSIB in a trading capacity touching on a number of different sectors, most recently as the senior trader on the Commercial Mortgage Backed Securities desk from 2011 to 2013. Prior to working on the Commercial desk, Mr. Drvostep was the senior trader on the Asset Backed Securities desk and was responsible for a variety of US and European asset classes including a number of esoteric products. Prior to that Mr. Drvostep joined CSIB in 2001 and had roles on the ABS Banking/Structuring/Syndicate teams. Mr. Drvostep graduated from Cornell University in 2001 with a BS in Economics.

      Amar Sujanani

      Portfolio Manager

      Mr. Sujanani serves as Managing Director of SPF IM. Previously, Mr. Sujanani was a Managing Director at CSAM and served as a member of the Portfolio Management Team of the Securitized Products Fund since 2012. Prior to that, Mr. Sujanani was at CSIB since 2006 where he served as a Senior Line Trader on the Non-Agency Desk, trading Prime, Alt-A, Pay Option ARMs, Subprime, Re-remic Mezz, and Derivatives.　Prior to that, Mr. Sujanani reduced Credit Suisse’s exposure to legacy assets emanating from the wind down of its synthetic CDO business. He served as one of three primary risk managers on a portfolio with both cash and synthetic exposure to RMBS, CMBS, Consumer ABS, corporate credit and leveraged loans. From 2006-08 he Structured and priced exotic interest rate derivatives linked to both USD and non-USD RMBS and CMBS, across private label credit and government guaranteed securities. Mr. Sujanani graduated from Princeton University with a Masters in Finance (2006), Ecole Centrale Paris with a Masters in Engineering (2005), and Universite Paris XI with a BS in Economics (2004).

      Alok Verma

      Portfolio Manager

      Mr. Verma is a Managing Director of SPF IM. Previously, Mr. Verma was a Managing Director at CSAM and a member of the Portfolio Management Team of the Securitized Products Fund since 2012. Prior to that, Mr. Verma served as the head of CSIB’s European Securitized Products operations (in London). He oversaw all secondary trading of European Assets (RMBS/CMBS/CLO/ABS/etc.) as well as directing the Asset Finance Team in financing and banking operations. From 2003-2009 he traded a variety of assets including Aircraft / MH and Subprime as he progressed to a senior trader on the ABS Credit Desk. Mr. Verma joined CSIB in 2001 as an analyst in Asset Finance in a structuring role.　Mr. Verma graduated in 2001 from Columbia University with a BS in Engineering and Applied Science.

      Eric Zhai

      Portfolio Manager

      Mr. Zhai serves as Managing Director of SPF IM. Previously, Mr. Zhai was a Director at CSAM and a member of the Portfolio Management Team of the Securitized Products Fund since 2015. Mr. Zhai served as a Structured Products Portfolio Manager at GoldenTree Asset Management from 2013 to 2015. From 2000 to 2013, Mr. Zhai served in a number of structured product roles at CSIB, including European CLO/CDO/ABS Trader, CLO/CDO Trader, CDO Structurer, and Securitized Products Research Analyst. Mr. Zhai graduated from Columbia University in 2003 with a BS in Computer Science.

      Charles Shuey

      Quantitative Analyst

      Mr. Shuey serves as Quantitative Analyst of SPF IM. Previously, Mr. Shuey was a Director at CSAM and a member of the Team of the Securitized Products Fund since 2014. Prior to this, Charles served as the desk strategist in the Securitized Products group at the Royal Bank of Scotland (RBS). He was tasked with building an analytical platform to monitor RMBS, CMBS and ABS. During his time there he was recognized multiple times by Institutional Investor for his work in the Non-Agency space. Prior to RBS, Charles served in the MBS Banking Group at Greenwich Capital focusing on originations of RMBS securitizations. Charles graduated from Cornell University with a BS in Engineering in 2005.

      Siddharth Mittra

      Portfolio Manager

      Mr. Mittra serves as a Managing Director of SPF Investment Management (UK) Limited, a wholly owned subsidiary of SPF IM. Previously, Mr. Mittra was an employee at Credit Suisse Asset Management Limited since July 2014 and was based in London serving as Portfolio Manager for the Securitized Products Fund’s discretionary sub-advisor. Prior to joining Credit Suisse, Mr. Mittra was the frontline European ABS trader at Deutsche Bank’s London office from 2010 to 2014 and has experience in trading a broad range of asset classes across various jurisdictions in Europe. Before moving to London, Mr. Mittra worked at Deutsche Bank’s New York office from 2007 to 2009 trading Subprime and Non-Agency RMBS. Mr. Mittra also has business development and finance experience from working in his family’s business in India from 2003 to 2005. Mr. Mittra graduated from Shri Ram College of Commerce with a Bachelor of Commerce in 2003 and graduated from the University of Notre Dame with an MBA in 2007.

      Luca Beldi

      Portfolio Manager

      Mr. Beldi serves as a Director of SPF Investment Management (UK) Limited, a wholly owned subsidiary of SPF IM. Prior to joining SPF, Mr. Beldi was a portfolio manager at TwentyFour Asset Management, a boutique of Vontobel Asset Management, specializing in a wide range of European ABS products from prime residential mortgages to sub-IG investments in CLOs. He also developed that firm’s analytical platform for CLOs and worked on the structuring of private and public transactions across different jurisdictions. Mr. Beldi graduated in 2011 from Bocconi University with a Bachelor of Science in Economics and Finance.

      Mark Barres

      Chief Operating Officer

      Mr. Barres is the Chief Operating Officer of SPF IM. Previously, Mr. Barres was a Director and Chief Operating Officer at Credit Suisse Asset Management, LLC ("CSAM"), covering the Securitized Products Fund since its inception in 2011. Mr. Barres joined Credit Suisse in 1990 following Credit Suisse’s acquisition of BEA Associates. Mr. Barres, who is a CFA charter holder, has leadership experience in derivatives trading, investment operations, information technology, and business management.

      Sean Keating

      Chief Financial Officer/Deputy Chief Operating Officer

      Mr. Keating is Chief Financial Officer/Deputy Chief Operating Officer of SPF IM. Previously, Mr. Keating was a Director and Deputy Chief Operating Officer at Credit Suisse Asset Management ("CSAM")covering the Securitized Products Fund since December 2011. While at CSAM, he served in similar roles supporting other alternative investment product lines including commodities, fund of hedge funds and liquid hedge fund replication. Before joining CSAM in 2006, Mr. Keating spent three years with PlusFunds Group, Inc. as a senior analyst managing the investor operations and client reporting teams. Mr. Keating earned a B.A. in Economics from Vanderbilt University in 2003 and graduated from NYU’s Stern School of Business with a MBA in 2014.

      Christopher Marvin

      General Counsel/Chief Compliance Officer

      Mr. Marvin is General Counsel and Chief Compliance Officer of SPF IM and joined the company in January 2019. Previously, from 2015 to 2018, Mr. Marvin was an Associate General Counsel at New York Life Insurance Company where he provided legal advice to the Structured Products and High-Yield Credit (CLO) teams within NYL Investors LLC, an asset management subsidiary. Prior to that, from 2011 to 2015, Mr. Marvin served as a Vice President and Investments Counsel at Genworth where he provided legal advice in connection with the management of its investment portfolio. From 2006-2011, Mr. Marvin was an Associate in the Structured Finance and Derivatives group at Linklaters LLP. Prior to that, from 2004-2006, Mr. Marvin was an Associate in the Capital Markets Department at Cadwalader, Wickersham & Taft LLP.　Mr. Marvin received a J.D. from the University of California, Los Angeles School of Law in 2004 and received a B.A. in Economics from the University of California, Berkeley in 2001.

    • Contact

      SPF's office is located at the corner of 26th St. and Fifth Ave.

      SPF Investment Management, L.P.

      220 Fifth Ave

      Floor 13

      New York, NY 10001

       

      212-457-8730

      spf@spfim.com

    (1) Registration does not imply a certain level of skill or training.

     

    The information contained herein does not constitute and is not intended to constitute an offer to buy or sell any security. SPF does not attempt to furnish investment advice or services through this website.

    Past performance does not guarantee or indicate future results.

    Copyright © 2019 SPF Investment Management, L.P. All rights reserved.

    Privacy Policy
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      GDPR Privacy Notice

INTRODUCTION

Respect for Your Privacy:
The privacy of your personal information is important to us at SPF Investment Management, L.P., and we are committed to protecting its privacy. Furthermore, the privacy of your personal information may be protected by various government laws or regulations. 
At the same time, in order to provide you with services you may request, it is necessary for us to possess some personal information of yours. Similarly, without some of that information, we cannot inform you about the services we have available or that you may request (though if you are currently receiving information or marketing communications from us, you may opt-out of receiving further communications at any time).
This privacy statement explains our personal information policies and practices. It includes, but is not limited to, explanations of the types of personal information we may collect about you, the purposes for collecting such information, the circumstances under which we may disclose such information to third parties, the measures we take to secure the confidentiality of such information, your rights regarding your personal information, and the way to contact us to exercise those rights.

The GDPR and Your Personal Data Rights:
The European Union’s General Data Protection Regulation (GDPR) is a sweeping piece of legislation that grants EU residents increased control over their personal data. 
The GDPR allows consumers to access their personal data and find out details of how that data is processed, to rectify inaccurate personal data, to have their data erased (when certain conditions are met), to restrict processing of their data, and more. It requires affected companies to create processes to comply with and facilitate consumer data requests, to update their privacy policies, and to ensure that personal data is secured. 
This privacy notice provides the details you need to understand your rights under the GDPR, and to exercise those rights. It provides you with the contact information you need to take action regarding the privacy of your data.
 
DATA PRIVACY INFORMATION

Defining Personally Identifiable Information:
Various laws and regulations (including the GDPR) use different terms and definitions for information about individuals that is personal and should be protected. Some laws and regulations consider only very limited types of information to be protected and private. Others include much broader categories.
At SPF Investment Management, L.P., we have chosen to adopt the broader approach to what information must be protected and kept as private as possible. In this notice, “Personally Identifiable Information” (PII) refers to data that could be used, alone or in combination with other data, to identify you as an individual. It can include name, physical address, email address, IP address, date of birth, social security number, passwords, credit card or other financial or payment information, and more.

Lawful Basis:
Our collection and use of your PII is lawful. 
We collect and process your PII with your consent, in connection with the performance of a contract or for a legitimate interest (compliance with regulatory obligations, in the case of HR related data, and providing information with respect to our services, in the case of marketing related data) that does not override your rights and freedoms.

Security of Personal Information: 
We are committed to protecting your PII from unauthorized access and use. To help protect your personal information, we implement and maintain appropriate technical, physical, and administrative safeguards. Access to your personal information is restricted solely to those employees who need to know that information to provide our services to you. Our employees receive training to maintain the confidentiality, privacy, and security of your personal information. 

Data Storage and Retention:
Your personal information will be retained only for as long as the information is needed to fulfill the purposes for which it was collected and processed. We reserve the right to retain and use your personal information for as long as necessary to comply with our legal obligations and business requirements and/or to resolve ongoing disputes and enforce our agreements. 
 
Types of Collected PII:
SPF Investment Management, L.P. collects some of your personally identifiable information. This section describes the categories of PII that are collected, as well as the categories of sources for obtaining that PII, and the purpose for collecting it.

PII Categories: 
Depending on your relationship with us, the PII we collect from you may consist of any of the following categories: 
•	HR Related Data (including Criminal History, if any)
•	Financial Data
•	Investor Data
•	Custodian/Administrator Data
•	Distributor Data
•	Prospects Data
•	Accounting Information
•	Investment Data

Sources for PII:
The categories of sources of the PII we collect about you are: 
•	Direct (information you provide to us)
•	Indirect (information provided by third parties)

Purpose for Collecting Your PII:
Depending on your relationship with us, we collect your PII for a variety of purposes including, as applicable: 
•	Managing job applications and employment
•	Facilitating transactions related to your investments in investment funds managed by us
•	Contacting you or your designated representative by phone, email, fax, or mail 
•	Performing obligations under agreements between ourselves and you
•	Sharing information about our services
•	Providing you or your representative with marketing communications
•	Fulfilling our legal and regulatory obligations
 
Our Website and Your PII: 
Visiting and navigating our website will likely involve some form of usage of your PII. This section details the methods and permissions involved. 

Consent to Use Your PII:
By visiting our website or completing any online forms, you consent to our storing and using your PII for the reasons provided in this notice. You also consent to our using it to reply to your requests as well as to contact you in the future, whether or not at your request, to provide you with additional information.
Note that we might also be required under applicable privacy laws and regulations to record and maintain certain PII from you (e.g., recording telephone calls or monitoring email and other network traffic).
Without some of this information we cannot provide you with the services you may request. If you are currently receiving information or marketing communications from us, however, you may opt-out of receiving further communications at any time.

Use of Cookies:
Some of the PII we collect is obtained through the use of third-party automated collection tools on our website(s), such as cookies or web beacons that capture information sent from your web browser to our website. Information that is collected includes your IP address, the website address that you were at before landing at our website, and information such as the pages you clicked through while at our website. This information is collected to improve your experience. 
When you first visit our website, you are asked if you agree to our use of cookies. You may agree and opt-in, or refuse and opt-out. If you opt-out, please note that your experience using the site may not be optimal. 
 
Sharing Your PII:
Your PII may be combined with information we receive from other sources, or it may be provided to other organizations we work with. This section details that sharing of your PII.

Receiving PII from Third Parties:
We may receive information about you from other sources and combine that information with the PII we collect directly from you. Additionally, to promote protection of your identity, we also may collect identity information which we use to help prevent and detect fraud.

Sharing PII with Third Parties:
We may share your PII with our affiliates, business partners, and other third parties. We may do so for the purposes of operating our business, delivering and improving the financial services we provide to you, as well as for other legitimate purposes permitted by applicable law such as sending marketing and other communications related to our business.
We also share personal information for a variety of additional purposes including, but not limited to: 
•	Within SPF Investment Management, L.P. and our affiliates and subsidiaries for data processing or storage purposes
•	With business partners and suppliers to provide services and help facilitate transactions
•	In response to a request from law enforcement, government authorities, or other third parties as necessary to comply with legal process or to meet national security requirements
•	For any purposes other than which the PII was collected (and other than for the exceptions listed here) only after we have provided you notice and received your consent to share the information for that purpose

Transfer of PII from the EU (or EEA, Switzerland) to the US and/or Other Countries:
Your personal information may be transferred, processed and/or stored in a country other than the one in which your personal information is collected. When transferring your personal information to the US or other countries, we have implemented procedures to ensure that appropriate safeguards are in place to protect the personal information regardless of where it is being transferred to. 

PII From Minors:
We do not offer financial services and products to minors and do not intend to collect personal information from persons under the age of 18. We follow all local legal requirements with respect to the collection and processing of a minor’s personal information.
 
Your Data Subject Rights:
The GDPR and other national privacy laws provide data subjects with certain rights regarding their personal data. 
If you are an individual who resides in the EU and whose personal data is collected and processed by SPF Investment Management, L.P., you have the right to: 
•	Request access to your data
•	Rectify your data 
•	Take your data (in a readable, “portable” format) to another service provider
•	Erase your personal data 
•	Restrict or object to the processing of your personal data
•	Lodge a complaint with a Member State Supervisory Authority
•	Withdraw previously given consent to collect and process personal data (which will not impact personal data processed before the withdrawal)

Contacting Us to Exercise Your PII Rights:
You may contact us in order to exercise any of your rights set forth in this privacy notice by visiting our website (www.spfim.com).

Questions, Concerns or Complaints:
If you have any questions, concerns or complaints regarding the information in this privacy statement and/or our privacy practices, please contact:

Christopher Marvin, General Counsel and Chief Compliance Officer
SPF Investment Management, L.P.
220 Fifth Avenue, 13th Floor
New York, NY 10001
United States
E-mail: spf@spfim.com 
Phone: (212) 457-8730

Changes to this Privacy Statement:
From time to time we may update this privacy statement. If revisions are made to the privacy statement, we will update the statement with a new revision date. 

This privacy statement was last revised and posted on October 8, 2019.
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