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UBS just hired a senior NYC equity researcher from Nomura

Brock Vandervliet, UBS, equity research, equity researcher, research, the sell side, Nomura, Lehman Brothers, the buy side, Galleon Group, portfolio manager, PM, hedge funds, prop trading

Brock Vandervliet has worked on both the sell side, including Nomura and Lehman Brothers, and the buy side, including Galleon Group.

Brock Vandervliet has just joined UBS as an executive director and senior analyst covering the mid-cap commercial bank and mortgage finance sectors in the equity research department in New York.

Vandervliet comes with a curious resume. He left Nomura’s NYC office in May after working for the Japanese bank for three years, but all the while he was working there he also ran a property renovation firm in Tampa, Florida. That firm remains in operation now that he’s at UBS.

Vandervliet’s investment, equity analysis and portfolio construction experience dates back two decades.

He got his start in the industry at the investment bank Keefe, Bruyette & Woods (KBW), now a subsidiary of Stifel Financial. He went on to work at Lehman Brothers as an analyst of large-cap banks.

In 2004, he jumped to the buy-side, joining the hedge fund Partner Fund Management as a founding partner and the financial services sector head.

Later, he worked as the portfolio manager of the Diversified Financial Services (DFS) Fund at Galleon Group, which at its peak managed more than $7bn but shuttered in 2009 due to an insider trading scandal that led to a prison sentence for the hedge fund firm’s billionaire co-founder Raj Rajaratnam.

After Galleon went under, Vandervliet got a gig as a PM and the head of risk management at Lion’s Path Capital, a hybrid proprietary trading platform with a separate hedge fund.

At both Minaret and Lion’s Path, Vandervliet’s role included supervision of each firm’s operations, including contract structure and negotiation, capital raising, operational management and financial control.

Photo credit: riskms/GettyImages

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