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Committees

//Committees
Committees2017-02-04T03:10:32+00:00

Investment Committee

Our Investment Committee is comprised of experienced, talented individuals who work together to achieve consensus on security selection, asset allocation, technical analysis, and risk assessment. The Investment Committee seeks to build and maintain client portfolios with high growth and/or income potential and limited downside risk.

Each member of the Investment Committee is a “generalist” who covers multiple sectors and industries, and each member is responsible for generating investment ideas that are individually evaluated by the committee. All members conduct extensive fundamental and technical research, meet with senior management of companies, and attend analyst luncheons and conferences.

  • Economic and market conditions, both domestic and international

  • Sector and/or industry trends that may impact positions in client portfolios

  • Companies of interest that may have recently experienced big stock price moves, reported earnings surprises, raised their guidance numbers, or announced significant deals and/or strategic decisions

  • Asset allocation and positions for all client portfolios we manage

  • Any changes in client goals or needs

Committee Members

Robert T. Stephenson
Robert T. Stephenson
David J. McCaffrey
David J. McCaffrey
Joseph F. Patton, Jr.
Joseph F. Patton, Jr.
Joseph F. Patton, III
Joseph F. Patton, III
Joel M. Roberts
Joel M. Roberts

Trading and Operations Committee

The Trading and Operations Committee is responsible for executing the investment strategy established by the Investment Committee. Our Trading professionals work with a select number of brokers handpicked by J.P. Marvel to place, fill, and confirm all portfolio trades in a timely and cost-effective manner.

Our Operations professionals maintain all portfolio accounting records, interact with portfolio custodians, and provide daily support and service to our clients.

The Trading and Operations Committee leads a weekly operational meeting with the rest of the firm. These “roundtable” meetings provide participants an opportunity to share new developments or status updates of all business matters affecting the firm with their colleagues. These meetings are informative and collaborative. Problems are addressed, solutions are brainstormed, and results are shared.

The meetings typically cover the following subjects:
  • Operations

  • Trading

  • Portfolios

  • Marketing

  • Finance

  • Compliance

  • Administration

  • Clients

Committe Members

David J. McCaffrey
David J. McCaffrey
Robert T. Stephenson
Robert T. Stephenson
Nicole E. Kiernan
Nicole E. Kiernan
Kellee A. Middlebrooks
Kellee A. Middlebrooks
 Joel M. Roberts
Joel M. Roberts

Compliance Committee

The Compliance Committee is a select team of J.P. Marvel investment professionals responsible for monitoring and controlling the firm’s legal, regulatory, and financial risk.

The Compliance Committee works closely with the firm’s legal and compliance associates and vendors to ensure that the firm is complying with all federal, state, and SEC rules and regulations. Members of the Compliance Committee regularly meet to address the current needs and concerns of the firm, draft and submit regulatory filings, lead any and all audits of the firm, and host firm-wide educational seminars and training sessions.

Committe Members

David J. McCaffrey
David J. McCaffrey
Kellee A. Middlebrooks
Kellee A. Middlebrooks
 Joel M. Roberts
Joel M. Roberts