NICK ROUNDS

444 W Roslyn Pl 1B Chicago, IL 60614 nrounds30@gmail.com (815)-830-2144

EDUCATION
Northern Illinois University, DeKalb, IL
August 2012 May 2014
Major: Finance
Cumulative GPA: 3.9/4.0, Major GPA: 4.0/4.0
Illinois Valley Community College, Oglesby, IL
August 2010 Graduated
May 2012

Varsity Golf Team: Received full tuition waiver for 2 years; elected team captain (2010-2012)

NJCAA Mens Golf National Qualifier (2012)

PROFESSIONAL EXAMINATIONS
Passed all three levels of the CFA program, and may be awarded the charter upon completion of the required work
experience
Series 65 (Uniform Investment Advisor Exam)
PROFESSIONAL EXPERIENCE
InterOcean Capital, LLC
June 2014 Present
Analyst
Portfolio Management/Trading Experience

Primary trader responsible for rebalancing, and maintaining InterOceans Global ETF composite portfolios

Assist senior portfolio managers in trading and rebalancing all of InterOceans propriety strategies

Experience includes trading equities, bonds, mutual funds, ETFs, and options

Experience includes utilizing options and various hedging strategies on concentrated and appreciated equity
positions

Perform portfolio analyses on existing and prospective clients current asset allocations and recommend target
allocations

Interact with clients and prospects on a daily basis and answer any portfolio related questions and provide
commentary on prevailing market conditions

Conduct cash flow models and investment plans for existing and prospective clients

Complete relevant analysis to be used in strategy updates and annual forecasts for client and prospective
client distribution

Assist Chief Investment Officer with day-to-day analysis and portfolio management processes
Reporting and Portfolio Accounting Experience

Head the performance reporting and portfolio accounting for $240 million in assets under management

Ensure client account data is current and accurate within Advent Axys, a comprehensive portfolio accounting
system

Prepare monthly marketing material for proprietary strategies by updating returns and statistical measures

Generate clients quarterly investment management invoices

BMO Harris Bank N.A.
June 2013
August 2013
Commercial Real-Estate Summer Analyst
Performed underwriting for the renewal of BMO commercial real-estate loans in amounts of $100 thousand to
$20 million
Completed due diligence and financial analysis in order to annually review outstanding loans
Conducted financial analysis based on clients financial statements and rent rolls to determine a proper loan
risk-rating
Spread clients financial data into Excel and used current market data to create pro-forma income and cash
flow statements
Analyzed the Milwaukee real-estate market and published monthly market studies to be referenced by BMO
real-estate teams
NIU Business Consulting (Knaack, LLC)
May 2013
December 2013
Finance Consultant
Benchmarked relevant industry practices against Knaacks to identify a cost efficient solution to reduce
damage claims
Worked jointly with 5 NIU peers in delivering a mid-semester briefing and final presentation to Knaacks top
management

NICK ROUNDS
444 W Roslyn Pl 1B Chicago, IL 60614 nrounds30@gmail.com (815)-830-2144
CFA Institute Research Challenge
November 2013
February 2014
NIU Analyst
Chosen as one of four universities to present research to the CFA Society of Chicagos panel of judges

Performed a complete analyst coverage report on Littlefuse, Incorporated (LFUS), a publicly traded company
on the NYSE
LEADERSHIP AND RELEVANT EXPERIENCE
NIU Student Managed Portfolio
August
2013 May 2014
Senior Analyst

Selected by NIU finance professors as one of ten students to monitor and manage a $300,000 fund
Northern Illinois University
August 2013 May 2014
Finance Peer Assistant
Assisted junior finance majors enrolled in core finance classes, and assured comprehension
NIU Financial Management Association
August 2013 May 2014
Vice President of Finance and Chapter Relations
SKILLS

Bloomberg, Advent Axys, Trading, Financial Modeling, MoneyGuidePro, Microsoft Office