董事介绍
注：董事持股数取自最新公司公告
| 姓名 | 性别 | 职位 | 年龄 | 薪酬 | 持股数(万股) | 截止日期 |
|---|---|---|---|---|---|---|
| Nicholas Dalmaso | -- | Lead Independent Director | 61 | 未披露 | 未持股 | 2026-04-15 |
| Kevin M. Maxwell | 男 | Independent Director | 64 | 未披露 | 未持股 | 2026-04-15 |
| Karen H. Hogan | 女 | Independent Director | 65 | 未披露 | 未持股 | 2026-04-15 |
| R. Eric Chadwick | 男 | Director,Chairman of the Board,Chief Executive Officer and President | 51 | 未披露 | 未持股 | 2026-04-15 |
高管介绍
注：高管持股数取自最新公司公告
| 姓名 | 性别 | 职位 | 年龄 | 薪酬 | 持股数(万股) | 截止日期 |
|---|---|---|---|---|---|---|
| Chad Conwell | -- | Chief Compliance Officer, Vice President and Secretary | 54 | 未披露 | 未持股 | 2026-04-15 |
| R. Eric Chadwick | 男 | Director,Chairman of the Board,Chief Executive Officer and President | 51 | 未披露 | 未持股 | 2026-04-15 |
| Roger Ko | -- | Assistant Treasurer | 52 | 未披露 | 未持股 | 2026-04-15 |
| Bradford S. Stone | -- | Chief Financial Officer, Vice President and Treasurer | 67 | 未披露 | 未持股 | 2026-04-15 |
董事简历
中英对照 | 中文 | 英文- Nicholas Dalmaso
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Nicholas Dalmaso，Sound Capital Holdings LLC主席兼首席执行官，Sound Capital Distributors LLC注册经纪人/交易商和Sound Capital Solutions LLC（投资顾问）（2020年至今）；M1 Holdings Inc.总法律顾问（2014年至今）和首席合规干事（2014年至2019年）；总法律顾问（2014年至今）M1 Finance LLC（注册经纪人/交易商）首席合规官（2014年至2019年）；M1 Advisory Services LLC（投资顾问）总法律顾问（2014年至今）和首席合规官（2014年至2019年）；Keno Kozie Associates（IT咨询）独立董事（2016年至2018年）。
Nicholas Dalmaso, Chair and CEO of Sound Capital Holdings LLC, Sound Capital Distributors LLC a registered broker/dealer and Sound Capital Solutions LLC (an investment advisor) (2020 to present); General Counsel (2014 to present) and Chief Compliance Officer (2014 to 2019) of M1 Holdings Inc.; General Counsel (2014 to present) and Chief Compliance Officer (2014 to 2019) of M1 Finance LLC (a registered broker/dealer); General Counsel (2014 to present) and Chief Compliance Officer (2014 to 2019) of M1 Advisory Services LLC (an investment adviser); Independent Director of Keno Kozie Associates (IT Consulting) (2016 to 2018). - Nicholas Dalmaso，Sound Capital Holdings LLC主席兼首席执行官，Sound Capital Distributors LLC注册经纪人/交易商和Sound Capital Solutions LLC（投资顾问）（2020年至今）；M1 Holdings Inc.总法律顾问（2014年至今）和首席合规干事（2014年至2019年）；总法律顾问（2014年至今）M1 Finance LLC（注册经纪人/交易商）首席合规官（2014年至2019年）；M1 Advisory Services LLC（投资顾问）总法律顾问（2014年至今）和首席合规官（2014年至2019年）；Keno Kozie Associates（IT咨询）独立董事（2016年至2018年）。
- Nicholas Dalmaso, Chair and CEO of Sound Capital Holdings LLC, Sound Capital Distributors LLC a registered broker/dealer and Sound Capital Solutions LLC (an investment advisor) (2020 to present); General Counsel (2014 to present) and Chief Compliance Officer (2014 to 2019) of M1 Holdings Inc.; General Counsel (2014 to present) and Chief Compliance Officer (2014 to 2019) of M1 Finance LLC (a registered broker/dealer); General Counsel (2014 to present) and Chief Compliance Officer (2014 to 2019) of M1 Advisory Services LLC (an investment adviser); Independent Director of Keno Kozie Associates (IT Consulting) (2016 to 2018).
- Kevin M. Maxwell
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Kevin M. Maxll previoly在投资银行行业有广泛的工作经验，曾于2023年至2024年在Samuel A. Ramirez & Co.，Inc.和2018年至2023年在Piper Sandler & Co.担任固定收益销售职务，并于2008年至2018年在多家其他大型投行担任机构销售和销售管理职务。马克斯尔的职业生涯始于雷曼兄弟公司，在那里他曾在多个交易柜台任职，最终在1984年至2008年期间从事机构固定收益销售业务。从2024年到2026年，马克斯尔先生担任非盈利天主教教育使徒奥格廷学院的高级部级顾问。他还担任各基金董事会提名委员会主席。
Kevin M. Maxwell previoly worked extensively in the investment banking industry, holding positions in Fixed Income Sales for Samuel A. Ramirez & Co., Inc. from 2023 to 2024 and Piper Sandler & Co. from 2018 to 2023, and holding positions in Institutional Sales and Sales Management for vario other large investment banks from 2008 to 2018. Mr. Maxll began his career at Lehman Brothers Inc., where he held positions on multiple trading desks, and eventually in Institutional Fixed Income Sales, from 1984 to 2008. From 2024 to 2026, Mr. Maxll served as Senior Ministry Consultant for The Augtine Institute, a non profit Catholic educational apostolate. He also serves as the Chair of the Nominating Committee of each Fund's Board. - Kevin M. Maxll previoly在投资银行行业有广泛的工作经验，曾于2023年至2024年在Samuel A. Ramirez & Co.，Inc.和2018年至2023年在Piper Sandler & Co.担任固定收益销售职务，并于2008年至2018年在多家其他大型投行担任机构销售和销售管理职务。马克斯尔的职业生涯始于雷曼兄弟公司，在那里他曾在多个交易柜台任职，最终在1984年至2008年期间从事机构固定收益销售业务。从2024年到2026年，马克斯尔先生担任非盈利天主教教育使徒奥格廷学院的高级部级顾问。他还担任各基金董事会提名委员会主席。
- Kevin M. Maxwell previoly worked extensively in the investment banking industry, holding positions in Fixed Income Sales for Samuel A. Ramirez & Co., Inc. from 2023 to 2024 and Piper Sandler & Co. from 2018 to 2023, and holding positions in Institutional Sales and Sales Management for vario other large investment banks from 2008 to 2018. Mr. Maxll began his career at Lehman Brothers Inc., where he held positions on multiple trading desks, and eventually in Institutional Fixed Income Sales, from 1984 to 2008. From 2024 to 2026, Mr. Maxll served as Senior Ministry Consultant for The Augtine Institute, a non profit Catholic educational apostolate. He also serves as the Chair of the Nominating Committee of each Fund's Board.
- Karen H. Hogan
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Karen H. Hogan目前担任纽约州Stchester青年男子服务联盟分会的董事会主席，Kyle Abraham的A.I.M.董事会成员，以及董事会成员和/或她所在社区的其他几个非营利组织的活跃委员会成员。从1985年到1997年，Hogan女士曾在雷曼兄弟控股担任优先股发起高级副总裁，以及新产品开发高级副总裁。Hogan女士还曾担任New World Coffee，Inc.的董事、成员和审计委员会主席。Hogan女士目前担任各基金董事会审计委员会主席。
Karen H. Hogan currently serves as Board President of the stchester, N.Y., chapter of Young Men's Service League, Board Member of A.I.M. by Kyle Abraham, and a member of the Board and/or an active committee member of several additional non profit organizations in her community. From 1985 to 1997, Ms. Hogan served as Senior Vice President of Preferred Stock Origination, and previoly Vice President of New Product Development, at Lehman Brothers Holdings Inc. Ms. Hogan also served as a director, member and chair of the audit committee of New World Coffee, Inc. Ms. Hogan currently serves as Chair of the Audit Committee of each Fund's Board. - Karen H. Hogan目前担任纽约州Stchester青年男子服务联盟分会的董事会主席，Kyle Abraham的A.I.M.董事会成员，以及董事会成员和/或她所在社区的其他几个非营利组织的活跃委员会成员。从1985年到1997年，Hogan女士曾在雷曼兄弟控股担任优先股发起高级副总裁，以及新产品开发高级副总裁。Hogan女士还曾担任New World Coffee，Inc.的董事、成员和审计委员会主席。Hogan女士目前担任各基金董事会审计委员会主席。
- Karen H. Hogan currently serves as Board President of the stchester, N.Y., chapter of Young Men's Service League, Board Member of A.I.M. by Kyle Abraham, and a member of the Board and/or an active committee member of several additional non profit organizations in her community. From 1985 to 1997, Ms. Hogan served as Senior Vice President of Preferred Stock Origination, and previoly Vice President of New Product Development, at Lehman Brothers Holdings Inc. Ms. Hogan also served as a director, member and chair of the audit committee of New World Coffee, Inc. Ms. Hogan currently serves as Chair of the Audit Committee of each Fund's Board.
- R. Eric Chadwick
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R. Eric Chadwick自2016年1月起担任各基金的董事和董事会主席。Chadwick先生自2015年4月起担任每只基金的总裁，并于2004年（或就DFP而言，自其成立以来）担任首席财务官，直至2015年4月。Chadwick先生还是Flaherty & Crumrine的总裁，自1999年以来一直担任PFD和PFO的投资组合经理，自每只基金成立以来一直担任FFC、FLC和DFP的投资组合经理。
R. Eric Chadwick has been a Director and Chair of the Board of each Fund since January 2016. Mr. Chadwick has been the President of each Fund since April 2015 and, previoly, the Chief Financial Officer from 2004 (or in the case of DFP, from its inception) until April 2015. Mr. Chadwick is also the President of Flaherty & Crumrine and has served as a portfolio manager of PFD and PFO since 1999 and as portfolio manager of each of FFC, FLC and DFP since each Fund's inception. - R. Eric Chadwick自2016年1月起担任各基金的董事和董事会主席。Chadwick先生自2015年4月起担任每只基金的总裁，并于2004年（或就DFP而言，自其成立以来）担任首席财务官，直至2015年4月。Chadwick先生还是Flaherty & Crumrine的总裁，自1999年以来一直担任PFD和PFO的投资组合经理，自每只基金成立以来一直担任FFC、FLC和DFP的投资组合经理。
- R. Eric Chadwick has been a Director and Chair of the Board of each Fund since January 2016. Mr. Chadwick has been the President of each Fund since April 2015 and, previoly, the Chief Financial Officer from 2004 (or in the case of DFP, from its inception) until April 2015. Mr. Chadwick is also the President of Flaherty & Crumrine and has served as a portfolio manager of PFD and PFO since 1999 and as portfolio manager of each of FFC, FLC and DFP since each Fund's inception.
高管简历
中英对照 | 中文 | 英文- Chad Conwell
Chad Conll Flaherty & Crumrine执行副总裁、首席合规官和首席法务官。
Chad Conwell Executive Vice President, Chief Compliance Officer and Chief Legal Officer of Flaherty & Crumrine.- Chad Conll Flaherty & Crumrine执行副总裁、首席合规官和首席法务官。
- Chad Conwell Executive Vice President, Chief Compliance Officer and Chief Legal Officer of Flaherty & Crumrine.
- R. Eric Chadwick
R. Eric Chadwick自2016年1月起担任各基金的董事和董事会主席。Chadwick先生自2015年4月起担任每只基金的总裁，并于2004年（或就DFP而言，自其成立以来）担任首席财务官，直至2015年4月。Chadwick先生还是Flaherty & Crumrine的总裁，自1999年以来一直担任PFD和PFO的投资组合经理，自每只基金成立以来一直担任FFC、FLC和DFP的投资组合经理。
R. Eric Chadwick has been a Director and Chair of the Board of each Fund since January 2016. Mr. Chadwick has been the President of each Fund since April 2015 and, previoly, the Chief Financial Officer from 2004 (or in the case of DFP, from its inception) until April 2015. Mr. Chadwick is also the President of Flaherty & Crumrine and has served as a portfolio manager of PFD and PFO since 1999 and as portfolio manager of each of FFC, FLC and DFP since each Fund's inception.- R. Eric Chadwick自2016年1月起担任各基金的董事和董事会主席。Chadwick先生自2015年4月起担任每只基金的总裁，并于2004年（或就DFP而言，自其成立以来）担任首席财务官，直至2015年4月。Chadwick先生还是Flaherty & Crumrine的总裁，自1999年以来一直担任PFD和PFO的投资组合经理，自每只基金成立以来一直担任FFC、FLC和DFP的投资组合经理。
- R. Eric Chadwick has been a Director and Chair of the Board of each Fund since January 2016. Mr. Chadwick has been the President of each Fund since April 2015 and, previoly, the Chief Financial Officer from 2004 (or in the case of DFP, from its inception) until April 2015. Mr. Chadwick is also the President of Flaherty & Crumrine and has served as a portfolio manager of PFD and PFO since 1999 and as portfolio manager of each of FFC, FLC and DFP since each Fund's inception.
- Roger Ko
Roger Ko Flaherty & Crumrine副总裁兼交易员。
Roger Ko Vice President and Trader of Flaherty & Crumrine.- Roger Ko Flaherty & Crumrine副总裁兼交易员。
- Roger Ko Vice President and Trader of Flaherty & Crumrine.
- Bradford S. Stone
Bradford S. Stone Flaherty & Crumrine投资组合经理、执行副总裁兼首席财务官。
Bradford S. Stone Portfolio Manager, Executive Vice President and Chief Financial Officer of Flaherty & Crumrine.- Bradford S. Stone Flaherty & Crumrine投资组合经理、执行副总裁兼首席财务官。
- Bradford S. Stone Portfolio Manager, Executive Vice President and Chief Financial Officer of Flaherty & Crumrine.