Charles Baker

Background

About Charles Baker

Over 30 years’ experience in the investment industry, specializing in new product development, quantitative investment techniques, and derivatives strategies. Prior to founding Investment Innovations LLC, I was Managing Director of the Index and Exchange Traded Products group at NYSE Euronext. This group and the exchange represent the principal listing venue for ETFs with an approximately 94% market share for listings. Responsible for spearheading the active ETF initiative which was a continuation of his efforts begun in 2003 at the American Stock Exchange which was purchased by NYSE Euronext in October, 2008. As part of these endeavors, I have had extensive contact with the SEC, including meetings and presentations, as well as being an author on 10 patents regarding a process for allowing ETFs to trade without the need for daily disclosure of portfolio holdings. In addition, I participated in a number of other new product projects at NYSE Euronext. These include innovative concepts regarding mutual fund transaction processing, an efficient mechanism for identifying originating brokers for the ETF industry, and an innovative bundling of listing and custom index services for ETF issuers. Seen as an industry expert, I have been a speaker at numerous industry conferences regarding ETFs in general, as well as active ETFs specifically. Prior to joining the NYSE/Amex in 2003, I was a managing director at Alpha Strategies, LLC, the quantitative research and development firm responsible for developing the underlying technology behind active ETFs. Prior to my involvement with Alpha Strategies, I held positions at SEI Investments, Leland O’Brien Rubinstein Associates Incorporated (LOR), Western Asset Management Company, and Union Bank. I have a bachelor’s degree in economics from California Polytechnic State University and an MBA from Claremont Graduate School.